0001019687-13-003706.txt : 20130925 0001019687-13-003706.hdr.sgml : 20130925 20130925165638 ACCESSION NUMBER: 0001019687-13-003706 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130925 FILED AS OF DATE: 20130925 DATE AS OF CHANGE: 20130925 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: APPLIED OPTOELECTRONICS, INC. CENTRAL INDEX KEY: 0001158114 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 760533927 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 13115 JESS PIRTLE BLVD CITY: SUGAR LAND STATE: TX ZIP: 77478 BUSINESS PHONE: 281-295-1800 MAIL ADDRESS: STREET 1: 13115 JESS PIRTLE BLVD CITY: SUGAR LAND STATE: TX ZIP: 77478 FORMER COMPANY: FORMER CONFORMED NAME: APPLIED OPTOELECTRONICS INC DATE OF NAME CHANGE: 20010824 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Anselm Klaus Alexander CENTRAL INDEX KEY: 0001587463 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36083 FILM NUMBER: 131114975 MAIL ADDRESS: STREET 1: 13115 JESS PIRTLE BLVD. CITY: SUGAR LAND STATE: TX ZIP: 77478 FORMER NAME: FORMER CONFORMED NAME: Klaus Alexander Anselm DATE OF NAME CHANGE: 20130923 FORMER NAME: FORMER CONFORMED NAME: Anselm Klaus Alexancer DATE OF NAME CHANGE: 20130923 3 1 anselm_frm3.xml FORM 3 X0206 3 2013-09-25 0 0001158114 APPLIED OPTOELECTRONICS, INC. AAOI 0001587463 Anselm Klaus Alexander C/O APPLIED OPTOELECTRONICS, INC. 13115 JESS PIRTLE BLVD. SUGAR LAND TX 77478 0 1 0 0 VP of Semiconductor Products Common Stock, $0.001 par value 3666 D Incentive Stock Option (Right to Buy) 6.00 2014-12-31 Common Stock, $0.001 par value 1000 D Non-Qualified Stock Option (Right to Buy) 3.00 2014-12-31 Common Stock, $0.001 par value 2000 D Incentive Stock Option (Right to Buy) 4.50 2014-07-31 Common Stock, $0.001 par value 1000 D Incentive Stock Option (Right to Buy) 6.00 2019-10-19 Common Stock, $0.001 par value 950 D Incentive Stock Option (Right to Buy) 6.00 2019-10-19 Common Stock, $0.001 par value 1333 D Incentive Stock Option (Right to Buy) 6.00 2019-10-19 Common Stock, $0.001 par value 1500 D Incentive Stock Option (Right to Buy) 6.00 2020-08-23 Common Stock, $0.001 par value 4333 D Incentive Stock Option (Right to Buy) 6.00 2021-03-04 Common Stock, $0.001 par value 2833 D Incentive Stock Option (Right to Buy) 6.00 2022-05-22 Common Stock, $0.001 par value 2667 D Incentive Stock Option (Right to Buy) 7.50 2023-01-18 Common Stock, $0.001 par value 10333 D The stock option grant fully vested on March 1, 2005. The stock option grant fully vested on July 1, 2006. The stock option grant fully vested on July 31, 2008. The stock option grant fully vested on March 3, 2010. The stock option grant fully vested on April 16, 2011. The stock option grant fully vested on February 12, 2012. The stock option grant vested as to 1/4th of the total number of shares on August 23, 2011 and thereafter vested and shall continue to vest as to 1/6th of the remainder of the shares in equal semi-annual installments until all shares have vested. The stock option grant vested as to 1/4th of the total number of shares on March 4, 2012 and thereafter vested and shall continue to vest as to 1/36th of the remainder of the shares in equal monthly installments until all shares have vested. The stock option grant vested as to 1/4th of the total number of shares on May 22, 2013 and thereafter vested and shall continue to vest as to 1/6th of the remainder of the shares in equal semi-annual installments until all shares have vested. The stock option grant vests as to 1/4th of the total number of shares on January 1, 2014 and thereafter vests and shall continue to vest as to 1/6th of the remainder of the shares in equal semi-annual installments until all shares have vested. Exhibit List - Exhibit 24 - Power of Attorney /s/ David C. Kuo for Klaus Alexander Anselm 2013-09-25 EX-24 2 anselm_poa.htm POWER OF ATTORNEY

Exhibit 24

LIMITED POWER OF ATTORNEY

FOR SECTION 16 REPORTING

KNOW ALL PERSONS BY THESE PRESENTS, that the undersigned hereby makes, constitutes and appoints David C. Kuo and Chih-Hsiang (Thompson) Lin, and each of them, as the undersigned’s true and lawful attorney-in-fact (the “Attorney-in-Fact”), with full power of substitution and resubstitution, each with the power to act alone for the undersigned and in the undersigned’s name, place and stead, in any and all capacities to:

1. prepare, execute in the undersigned’s name and on the undersigned’s behalf, and submit to the Securities and Exchange Commission (“SEC”) a Form ID, including amendments thereto, and any other documents necessary or appropriate to obtain codes and passwords enabling the undersigned to make electronic filings with the SEC of reports required or considered advisable under Section 16(a) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or any rule or regulation of the SEC;

2. prepare, execute and submit to the SEC, any national securities exchange and Applied Optoelectronics, Inc., a Delaware corporation (the “Company”), any and all reports (including any amendment thereto) of the undersigned required or considered advisable under Section 16(a) of the Exchange Act, and the rules and regulations thereunder, with respect to the equity securities of the Company, including Form 3 (Initial Statement of Beneficial Ownership of Securities), Form 4 (Statement of Changes in Beneficial Ownership), and Form 5 (Annual Statement of Changes in Beneficial Ownership); and

3. seek or obtain, as the undersigned’s representative and on the undersigned’s behalf, information regarding transactions in the Company’s equity securities from any third party, including the Company and any brokers, dealers, employee benefit plan administrators and trustees, and the undersigned hereby authorizes any such third party to release any such information to the Attorney-in-Fact.

The undersigned acknowledges that:

1. this Limited Power of Attorney authorizes, but does not require, the Attorney-in-Fact to act at his or her discretion on information provided to such Attorney-in-Fact without independent verification of such information;

2. any documents prepared and/or executed by the Attorney-in-Fact on behalf of the undersigned pursuant to this Limited Power of Attorney will be in such form and will contain such information as the Attorney-in-Fact, in his or her discretion, deems necessary or desirable;

3. neither the Company nor the Attorney-in-Fact assumes any liability for the undersigned’s responsibility to comply with the requirements of Section 16 of the Exchange Act, any liability of the undersigned for any failure to comply with such requirements, or any liability of the undersigned for disgorgement of profits under Section 16(b) of the Exchange Act; and this Limited Power of Attorney does not relieve the undersigned from responsibility for compliance with the undersigned’s obligations under Section 16 of the Exchange Act, including, without, limitation, the reporting requirements under Section 16(a) of the Exchange Act; and

4. the undersigned hereby grants to the Attorney-in-Fact full power and authority to do and perform each and every act and thing requisite, necessary or convenient to be done in connection with the foregoing, as fully, to all intents and purposes, as the undersigned might or could do in person, hereby ratifying and confirming all that the Attorney-in-Fact, or his or her substitute or substitutes, shall lawfully do or cause to be done by authority of this Limited Power of Attorney.

This Limited Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 or 5 with respect to the undersigned’s holdings of and transactions in equity securities of the Company, unless earlier revoked by the undersigned in a signed writing delivered to the Attorney-in-Fact.

This Limited Power of Attorney shall be governed by and construed in accordance the laws of the State of Delaware without regard to the laws that might otherwise govern under applicable principles of conflicts of laws thereof.

IN WITNESS WHEREOF, the undersigned has caused this Limited Power of Attorney to be executed as of September 18, 2013.

	Signature: /s/ Klaus Alexander Anselm

	Print Name: Klaus Alexander Anselm