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APPLIED OPTOELECTRONICS, INC. Director's Dealing 2013

Dec 23, 2013

31853_dirs_2013-12-23_b0615c9a-0533-4bae-9b98-448320a92e5d.zip

Director's Dealing

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SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2013-12-20

Reporting Person: Lin Chih-Hsiang (Thompson) (Director, President and CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2013-12-20	Common Stock, $0.001 par value	M	5833	$6.00	Acquired	5833	Direct
2013-12-20	Common Stock, $0.001 par value	M	944	$6.00	Acquired	944	Direct
2013-12-20	Common Stock, $0.001 par value	M	664	$6.00	Acquired	664	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2013-12-20	Non-Qualified Stock Option (Right to Buy)	$6.00	M	5833	Disposed	2017-06-05	Common Stock, $0.001 par value (5833)	Direct
2013-12-20	Non-Qualified Stock Option (Right to Buy)	$6.00	M	944	Disposed	2017-08-03	Common Stock, $0.001 par value (944)	Direct
2013-12-20	Non-Qualified Stock Option (Right to Buy)	$6.00	M	664	Disposed	2019-05-29	Common Stock, $0.001 par value (664)	Direct

Footnotes

F1: Options fully vested.