|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Non-Qualified Stock Option (Right to Buy) | $ 9.96 | 07/27/2017 | M | 50,000 | (4) | 09/26/2023 | Common Stock, $0.001 par value | 50,000 | $ 0 | 563,905 | D | ||||
Non-Qualified Stock Option (Right to Buy) | $ 9.96 | 07/28/2017 | M | 30,000 | (4) | 09/26/2023 | Common Stock, $0.001 par value | 30,000 | $ 0 | 533,905 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lin Chih-Hsiang (Thompson) C/O APPLIED OPTOELECTRONICS, INC. 13139 JESS PIRTLE BLVD. SUGAR LAND, TX 77478 |
X | President and CEO |
/s/ David C. Kuo, attorney in fact for Chih-Hsiang (Thompson) Lin | 07/31/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Represents a "net exercise" of outstanding stock options. The reporting person received 26,097 shares of common stock on net exercise of option to purchase 50,000 shares of common stock. The Company withheld 23,903 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on July 26, 2017 of $98.76, pursuant to the terms of the 2013 Equity Incentive Plan. |
(2) | Represents a "net exercise" of outstanding stock options. The reporting person received 15,641 shares of common stock on net exercise of option to purchase 30,000 shares of common stock. The Company withheld 14,359 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on July 27, 2017 of $97.82, pursuant to the terms of the 2013 Equity Incentive Plan. |
(3) | Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock. |
(4) | The stock option award (combined incentive stock option and non-qualified stock option) vested as to 1/4th of the total number of shares on September 26, 2014 and 1/8th of the shares vest every six months thereafter. |