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APPLIED OPTOELECTRONICS, INC. Director's Dealing 2014

Sep 25, 2014

31853_dirs_2014-09-25_c790e822-c261-4258-be18-cecfa9b64a83.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: 2014-09-23

Reporting Person: DUNN JAMES L JR (Chief Financial Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2014-09-23	Common Stock, $0.001 par value	M	2500	$7.50	Acquired	2500	Direct
2014-09-23	Common Stock, $0.001 par value	S	2500	$17.00	Disposed	0	Direct
2014-09-23	Common Stock, $0.001 par value	M	1875	$9.96	Acquired	1875	Direct
2014-09-23	Common Stock, $0.001 par value	S	1875	$17.01	Disposed	0	Direct
2014-09-23	Common Stock, $0.001 par value	M	1100	$13.84	Acquired	1100	Direct
2014-09-23	Common Stock, $0.001 par value	S	1100	$17.09	Disposed	0	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2014-09-23	Incentive Stock Option (Right to Buy)	$7.50	M	1250	Disposed	2014-11-15	Common Stock, $0.001 par value (1250)	Direct
2014-09-23	Incentive Stock Option (Right to Buy)	$7.50	M	1250	Disposed	2014-11-15	Common Stock, $0.001 par value (1250)	Direct
2014-09-23	Incentive Stock Option (Right to Buy)	$9.96	M	1875	Disposed	2014-11-15	Common Stock, $0.001 par value (1875)	Direct
2014-09-23	Incentive Stock Option (Right to Buy)	$13.84	M	1100	Disposed	2014-11-15	Common Stock, $0.001 par value (1100)	Direct