APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2013

Oct 2, 2013

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2013-10-01

Reporting Person: Yeh William H (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2013-10-01	Common Stock, $0.001 par value	C	28881	—	Acquired	28881	Direct
2013-10-01	Common Stock, $0.001 par value	C	12655	—	Acquired	12655	Direct
2013-10-01	Common Stock, $0.001 par value	C	19047	—	Acquired	19047	Direct
2013-10-01	Common Stock, $0.001 par value	C	4224	—	Acquired	4224	Indirect
2013-10-01	Common Stock, $0.001 par value	C	13440	—	Acquired	13440	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2013-10-01	Series A Convertible Preferred Stock	$	C	9102	Disposed		Common Stock, $0.001 par value (28881)	Direct
2013-10-01	Series C Convertible Preferred Stock	$	C	5477	Disposed		Common Stock, $0.001 par value (12655)	Direct
2013-10-01	Series G Convertible Preferred Stock	$	C	19047	Disposed		Common Stock, $0.001 par value (19047)	Direct
2013-10-01	Series D Convertible Preferred Stock	$	C	1666	Disposed		Common Stock, $0.001 par value (4224)	Indirect
2013-10-01	Series F Convertible Preferred Stock	$	C	11200	Disposed		Common Stock, $0.001 par value (13440)	Indirect

Footnotes

F1: Each share of Series A Convertible Preferred Stock converted into 3.173126 shares of the Issuer's common stock upon completion of the Issuer's initial public offering.

F2: Each share of Series C Convertible Preferred Stock converted into 2.310651 shares of the Issuer's common stock upon completion of the Issuer's initial public offering.

F3: Each share of Series G Convertible Preferred Stock converted into 1 share of the Issuer's common stock upon completion of the Issuer's initial public offering.

F4: Each share of Series D Convertible Preferred Stock converted into 2.535960 shares of the Issuer's common stock upon completion of the Issuer's initial public offering.

F5: Each share of Series F Convertible Preferred Stock converted into 1.200019 shares of the Issuer's common stock upon completion of the Issuer's initial public offering.