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: Kang Juen-Sheng (Andrew) (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2013-10-01	Common Stock, $0.001 par value	C	57452	—	Acquired	57452	Indirect
2013-10-01	Common Stock, $0.001 par value	C	16904	—	Acquired	16904	Indirect
2013-10-01	Common Stock, $0.001 par value	C	6748	—	Acquired	6748	Indirect
2013-10-01	Common Stock, $0.001 par value	C	83757	—	Acquired	83757	Indirect
2013-10-01	Common Stock, $0.001 par value	C	34245	—	Acquired	34245	Indirect
2013-10-01	Common Stock, $0.001 par value	C	45004	—	Acquired	45004	Indirect
2013-10-01	Common Stock, $0.001 par value	C	87070	—	Acquired	87070	Indirect
2013-10-01	Common Stock, $0.001 par value	C	23809	—	Acquired	23809	Indirect
2013-10-01	Common Stock, $0.001 par value	C	60717	—	Acquired	60717	Indirect
2013-10-01	Common Stock, $0.001 par value	C	107828	—	Acquired	107828	Indirect
2013-10-01	Common Stock, $0.001 par value	C	16904	—	Acquired	16904	Indirect
2013-10-01	Common Stock, $0.001 par value	C	15751	—	Acquired	15751	Indirect
2013-10-01	Common Stock, $0.001 par value	C	143359	—	Acquired	143359	Indirect
2013-10-01	Common Stock, $0.001 par value	C	53293	—	Acquired	53293	Indirect
2013-10-01	Common Stock, $0.001 par value	C	19047	—	Acquired	19047	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2013-10-01	Series C Convertible Preferred Stock	$	C	24864	Disposed		Common Stock, $0.001 par value (57452)	Indirect
2013-10-01	Series D Convertible Preferred Stock	$	C	6666	Disposed		Common Stock, $0.001 par value (16904)	Indirect
2013-10-01	Series E Convertible Preferred Stock	$	C	1865	Disposed		Common Stock, $0.001 par value (6748)	Indirect
2013-10-01	Series F Convertible Preferred Stock	$	C	69797	Disposed		Common Stock, $0.001 par value (83757)	Indirect
2013-10-01	Series G Convertible Preferred Stock	$	C	34245	Disposed		Common Stock, $0.001 par value (34245)	Indirect
2013-10-01	Series E Convertible Preferred Stock	$	C	12437	Disposed		Common Stock, $0.001 par value (45004)	Indirect
2013-10-01	Series F Convertible Preferred Stock	$	C	72558	Disposed		Common Stock, $0.001 par value (87070)	Indirect
2013-10-01	Series G Convertible Preferred Stock	$	C	23809	Disposed		Common Stock, $0.001 par value (23809)	Indirect
2013-10-01	Series A Convertible Preferred Stock	$	C	19135	Disposed		Common Stock, $0.001 par value (60717)	Indirect
2013-10-01	Series C Convertible Preferred Stock	$	C	46666	Disposed		Common Stock, $0.001 par value (107828)	Indirect
2013-10-01	Series D Convertible Preferred Stock	$	C	6666	Disposed		Common Stock, $0.001 par value (16904)	Indirect
2013-10-01	Series E Convertible Preferred Stock	$	C	4353	Disposed		Common Stock, $0.001 par value (15751)	Indirect
2013-10-01	Series F Convertible Preferred Stock	$	C	119464	Disposed		Common Stock, $0.001 par value (143359)	Indirect
2013-10-01	Series G Convertible Preferred Stock	$	C	53293	Disposed		Common Stock, $0.001 par value (53293)	Indirect
2013-10-01	Series G Convertible Preferred Stock	$	C	19047	Disposed		Common Stock, $0.001 par value (19047)	Indirect

Footnotes

F1: 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.

F2: 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.

F3: Each share of Series E Convertible Preferred Stock converted into 3.618590 shares of the Issuer's common stock upon completion of the Issuer's initial public offering.

F4: 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.

F5: 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.

F6: 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.

F7: The reporting person disclaims any and all pecuniary interests and beneficial ownership interests of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.