Richard B Black

CIK 1199697 · View on SEC EDGAR ↗

Insider

First SEC filing: June 11, 2026 · Latest: June 11, 2026

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Insider at Companies where this person is a reporting insider.
Insider transactions Every share this person bought or sold, from Form 4 filings.
Derivatives Options and other derivative holdings reported by this person.
Initial holdings The stakes this person held when they first started reporting.

Insider at

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 28 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

28 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
June 9, 2026	AAOI	A	1,166	—	—	165,529	—	—	(price as of 2026-08-20)
June 6, 2016	AAOI	A	7,011	—	—	41,992 Direct	+20.04%	Acquired	(price as of 2026-08-20)
July 31, 2015	AAOI	A	2,827	—	—	34,981 Direct	+8.79%	Acquired	(price as of 2026-08-20)
Aug. 8, 2014	AAOI	A	3,021	—	—	40,316 Direct	+8.10%	Acquired	(price as of 2026-08-20)
Nov. 14, 2013	AAOI	A	5,500	—	—	5,500 Direct	—	Acquired	(price as of 2026-08-20)
Oct. 1, 2013	AAOI	C	971	—	—	0 Indirect	-100.00%	Disposed	(price as of 2026-08-20)
Oct. 1, 2013	AAOI	C	3,333	—	—	0 Indirect	-100.00%	Disposed	(price as of 2026-08-20)
Oct. 1, 2013	AAOI	C	1,259	—	—	0 Indirect	-100.00%	Disposed	(price as of 2026-08-20)
Oct. 1, 2013	AAOI	C	2,404	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Oct. 1, 2013	AAOI	C	6,666	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Oct. 1, 2013	AAOI	C	4,194	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Oct. 1, 2013	AAOI	C	971	—	—	971 Indirect	—	Acquired	(price as of 2026-08-20)
Oct. 1, 2013	AAOI	C	3,999	—	—	3,999 Indirect	—	Acquired	(price as of 2026-08-20)
Oct. 1, 2013	AAOI	C	3,192	—	—	3,192 Indirect	—	Acquired	(price as of 2026-08-20)
Oct. 1, 2013	AAOI	C	2,404	—	—	2,404 Direct	—	Acquired	(price as of 2026-08-20)
Oct. 1, 2013	AAOI	C	7,999	—	—	7,999 Direct	—	Acquired	(price as of 2026-08-20)
Oct. 1, 2013	AAOI	C	9,690	—	—	9,690 Direct	—	Acquired	(price as of 2026-08-20)
July 23, 2010	NOVTU	M	39,083	$1.80	$70,349	166,362 Direct	+30.71%	Acquired	3454.4% (price as of 2026-08-20)
July 23, 2010	NOVTU	M	39,083	$1.80	$70,349	39,083 Direct	—	Acquired	3454.4% (price as of 2026-08-20)
July 23, 2010	NOVTU	A	127,279	—	—	127,279 Direct	—	Acquired	(price as of 2026-08-20)
July 23, 2010	NOVTU	J	25,007	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
July 28, 2008	NOVTU	A	9,328	$5.36	$49,998	32,710 Direct	+39.89%	Acquired	1093.7% (price as of 2026-08-20)
July 24, 2007	NOVTU	A	4,457	$11.22	$50,008	23,382 Direct	+23.55%	Acquired	470.2% (price as of 2026-08-20)
Sept. 22, 2006	NOVTU	A	5,400	$9.26	$50,004	18,925 Direct	+39.93%	Acquired	590.9% (price as of 2026-08-20)
Nov. 8, 2005	NOVTU	A	10,000	$8.83	$88,300	80,000 Direct	+14.29%	Acquired	624.6% (price as of 2026-08-20)
June 10, 2005	NOVTU	M	15,000	$4.38	$65,700	70,000 Direct	-17.65%	Disposed	1360.7% (price as of 2026-08-20)
June 10, 2005	NOVTU	S	8,210	$7.98	$65,516	13,525 Direct	-37.77%	Disposed	701.8% (price as of 2026-08-20)
June 10, 2005	NOVTU	M	15,000	$4.38	$65,700	21,735 Direct	+222.72%	Acquired	1360.7% (price as of 2026-08-20)
Sept. 21, 2004	NOVTU	A	10,000	$10.60	$106,000	85,000 Direct	+13.33%	Acquired	503.6% (price as of 2026-08-20)

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Derivative holdings (Form 4 Table II)

Options, RSUs and convertible securities reported on Form 4 Table II.

Date	Ticker	Security	Underlying	Exercise price	Expiration	Shares	A/D
Oct. 1, 2013	AAOI	Series G Convertible Preferred Stock	Common Stock, $0.001 par value (971)	—	—	971	Disposed
Oct. 1, 2013	AAOI	Series F Convertible Preferred Stock	Common Stock, $0.001 par value (3,999)	—	—	3,333	Disposed
Oct. 1, 2013	AAOI	Series D Convertible Preferred Stock	Common Stock, $0.001 par value (3,192)	—	—	1,259	Disposed
Oct. 1, 2013	AAOI	Series G Convertible Preferred Stock	Common Stock, $0.001 par value (2,404)	—	—	2,404	Disposed
Oct. 1, 2013	AAOI	Series F Convertible Preferred Stock	Common Stock, $0.001 par value (7,999)	—	—	6,666	Disposed
Oct. 1, 2013	AAOI	Series C Convertible Preferred Stock	Common Stock, $0.001 par value (9,690)	—	—	4,194	Disposed
July 23, 2010	NOVTU	Subscription Rights (right to buy)	Common Stock (39,083)	$1.80	July 23, 2010	39,083	Acquired
Nov. 8, 2005	NOVTU	Stock Option (right to buy)	Common Stock (10,000)	$8.83	Dec. 16, 2011	10,000	Acquired
June 10, 2005	NOVTU	Stock Option (right to buy)	Common Stock (15,000)	$4.38	Aug. 11, 2005	15,000	Disposed
Sept. 21, 2004	NOVTU	Stock Option (right To Buy)	Common Stock (10,000)	$10.60	Sept. 21, 2010	10,000	Acquired

Exercise/conversion price is blank when not applicable (e.g. RSUs).

Initial ownership (Form 3) 8 holdings

Securities held when first becoming an insider, per SEC Form 3.

Date	Ticker	Security	Shares	Ownership
Sept. 25, 2013	AAOI	Common Stock, $0.001 par value	3,540	Direct
Sept. 25, 2013	AAOI	Series C Convertible Preferred Stock→ Common Stock, $0.001 par value (9,690)	9,690	Direct
Sept. 25, 2013	AAOI	Series F Convertible Preferred Stock→ Common Stock, $0.001 par value (7,999)	7,999	Direct
Sept. 25, 2013	AAOI	Series G Convertible Preferred Stock→ Common Stock, $0.001 par value (2,404)	2,404	Direct
Sept. 25, 2013	AAOI	Series D Convertible Preferred Stock→ Common Stock, $0.001 par value (3,192)	3,192	Indirect
Sept. 25, 2013	AAOI	Series F Convertible Preferred Stock→ Common Stock, $0.001 par value (3,999)	3,999	Indirect
Sept. 25, 2013	AAOI	Series G Convertible Preferred Stock→ Common Stock, $0.001 par value (971)	971	Indirect
Sept. 25, 2013	AAOI	Non-Qualified Stock Option (Right to Buy)→ Common Stock, $0.001 par value (1,250)	1,250	Direct