Form 4 for AAOI APPLIED OPTOELECTRONICS, INC.
Accepted 2023-09-05 00:00:00 ET · period of report 2023-08-31 · accession 0001683168-23-006287 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2023-09-05 | 2023-08-31 | AAOI | Murry Stefan J. | CFO | M - OptEx | $9.96 | +11.0K | 233.1K | +5% | +$109.6K |
| D | 2023-09-05 | 2023-08-31 | AAOI | Murry Stefan J. | CFO | F - Tax | $15.22 | -8,167 | 225.0K | -4% | -$124.3K |
| D | 2023-09-05 | 2023-08-31 | AAOI | Murry Stefan J. | CFO | M - OptEx | $0.00 | -11.0K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock, $.001 par value | 2023-08-31 | M | A | 11,000 | $9.96 | 233,130 | D | — | — | |
| 2 | Common | Common Stock, $.001 par value | 2023-08-31 | F | D | 8,167 | $15.22 | 224,963 | D | — | — | (F1) Reflects "net exercise" of outstanding stock options. The reporting person received 2,833 shares of common stock on net exercise of option to purchase 11,000 shares of common stock. The Company withheld 8,167 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing price on August 30, 2023 of $15.22, pursuant to the terms of the 2013 Equity Incentive Plan. |
| 3 | Derivative | Incentive Stock Option (Right to Buy) | 2023-08-31 | M | D | 11,000 | $0.00 | 0 | D | $9.96 · — to 2023-09-26 | 11,000 Common Stock, $0.001 par value | (F2) Options fully vested. |