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 Shu-Hua (Joshua) (** See Remark)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2013-10-01	Common Stock, $0.001 par value	C	72741	—	Acquired	72741	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2013-10-01	Series D Convertible Preferred Stock	$	C	28684	Disposed		Common Stock, $0.001 par value (72741)	Direct

Footnotes

F1: 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.