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AFOP Alliance Fiber Optic Products, Inc.

18.51
0.00 (0.00%)
26 Jul 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Alliance Fiber Optic Products, Inc. NASDAQ:AFOP NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 18.51 18.48 18.50 0 01:00:00

Statement of Changes in Beneficial Ownership (4)

05/11/2013 10:17pm

Edgar (US Regulatory)


FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

HO ANITA K
2. Issuer Name and Ticker or Trading Symbol

ALLIANCE FIBER OPTIC PRODUCTS INC [ AFOP ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
Acting CFO
(Last)          (First)          (Middle)

C/O ALLIANCE FIBER OPTIC PRODUCTS, INC., 275 GIBRALTAR DRIVE
3. Date of Earliest Transaction (MM/DD/YYYY)

11/1/2013
(Street)

SUNNYVALE, CA 94089
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   (6) 11/1/2013     M    4000   A $3.975   25954   (4) D    
Common Stock   (6) 11/1/2013     M    8360   A $2.25   34314   (4) D    
Common Stock   (6) 11/1/2013     M    16000   A $2.40   50314   (4) D    
Common Stock   (6) 11/1/2013     J    1000   (5) A $7.00   51314   (4) D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. 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 7. Title and Amount of Securities Underlying Derivative Security
(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
Stock Option (Right to buy)   (6) $3.975   11/1/2013     A      4000   (1)      7/23/2011   7/23/2020   Common   4000   $3.975   4000   D    
Stock Option (Right to buy)   (6) $2.25   11/1/2013     A      8360   (2)      11/7/2006   11/7/2015   Common   8360   $2.25   8360   D    
Stock Option (Right to buy)   (6) $2.40   11/1/2013     A      16000   (3)      12/2/2005   12/2/2014   Common   16000   $2.40   16000   D    

Explanation of Responses:
( 1)  The total 4,000 shares of common stock were granted on July 23, 2010 and vest in four equal installments beginning on July 23, 2010.
( 2)  The total 8,360 shares of common stock were granted on November 7, 2005 and vest in four equal installments beginning on November 7, 2005.
( 3)  The total 16,000 shares of common stock were granted on December 2, 2004 and vest in four equal installments beginning on December 2, 2004.
( 4)  Including 3,000 restricted stock units which vest in two equal annual installments beginning on May 1, 2014.
( 5)  The shares were acquired under the Alliance Fiber Optic Products, Inc. employee stock purchase plan.
( 6)  Price and share amount reflect the 2-for-1 split Common Stock in the form of a stock dividend effected on August 30, 2013.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
HO ANITA K
C/O ALLIANCE FIBER OPTIC PRODUCTS, INC.
275 GIBRALTAR DRIVE
SUNNYVALE, CA 94089


Acting CFO

Signatures
/s/Anita Ho 11/5/2013
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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.

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