APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2013

Sep 25, 2013

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2013-09-25

Reporting Person: Yeh Shu-Hua (Joshua) (** See below)

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series D Convertible Preferred Stock	$		Common Stock, $0.001 par value (72741)		Direct
Non-Qualified Stock Option (Right to Buy)	$6.00	2019-10-19	Common Stock, $0.001 par value (2667)		Direct
Non-Qualified Stock Option (Right to Buy)	$6.00	2019-10-19	Common Stock, $0.001 par value (2667)		Direct
Non-Qualified Stock Option (Right to Buy)	$6.00	2019-10-19	Common Stock, $0.001 par value (2667)		Direct
Non-Qualified Stock Option (Right to Buy)	$6.00	2020-08-23	Common Stock, $0.001 par value (7667)		Direct
Non-Qualified Stock Option (Right to Buy)	$6.00	2021-03-04	Common Stock, $0.001 par value (6000)		Direct
Non-Qualified Stock Option (Right to Buy)	$6.00	2022-05-22	Common Stock, $0.001 par value (4333)		Direct
Non-Qualified Stock Option (Right to Buy)	$7.50	2023-01-18	Common Stock, $0.001 par value (18000)		Direct

Footnotes

F1: Each share of Series D Convertible Preferred Stock is convertible to 2.535960 shares of the Issuer's common stock upon completion of the Issuer's initial public offering, and has no expiration date. This conversion ratio reflects an adjustment following a 30-for-1 reverse stock split effected by the Issuer on August 20, 2013.

F2: The stock option grant fully vested on March 31, 2010.

F3: The stock option grant fully vested on April 16, 2011.

F4: The stock option grant fully vested on February 12, 2012.

F5: 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.

F6: 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.

F7: 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.

F8: 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.