APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2014

Mar 6, 2014

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2014-03-04

Reporting Person: Kuo David C (General Counsel and Secretary)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2014-03-04	Common Stock, $0.001 par value	M	267	$6.00	Acquired	267	Direct
2014-03-04	Common Stock, $0.001 par value	F	64	$25.11	Disposed	203	Direct
2014-03-04	Common Stock, $0.001 par value	M	437	$6.00	Acquired	640	Direct
2014-03-04	Common Stock, $0.001 par value	F	105	$25.11	Disposed	535	Direct
2014-03-04	Common Stock, $0.001 par value	M	500	$6.00	Acquired	1035	Direct
2014-03-04	Common Stock, $0.001 par value	F	120	$25.11	Disposed	915	Direct
2014-03-04	Common Stock, $0.001 par value	M	125	$6.00	Acquired	1040	Direct
2014-03-04	Common Stock, $0.001 par value	F	30	$25.11	Disposed	1010	Direct
2014-03-04	Common Stock, $0.001 par value	M	875	$7.50	Acquired	1885	Direct
2014-03-04	Common Stock, $0.001 par value	F	262	$25.11	Disposed	1623	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2014-03-04	Incentive Stock Option (Right to Buy)	$6.00	M	267	Disposed	2019-05-29	Common Stock, $0.001 par value (267)	Direct
2014-03-04	Incentive Stock Option (Right to Buy)	$6.00	M	437	Disposed	2020-08-23	Common Stock, $0.001 par value (437)	Direct
2014-03-04	Incentive Stock Option (Right to Buy)	$6.00	M	500	Disposed	2021-03-04	Common Stock, $0.001 par value (500)	Direct
2014-03-04	Incentive Stock Option (Right to Buy)	$6.00	M	125	Disposed	2022-05-22	Common Stock, $0.001 par value (125)	Direct
2014-03-04	Incentive Stock Option (Right to Buy)	$7.50	M	875	Disposed	2023-01-18	Common Stock, $0.001 par value (875)	Direct

Footnotes

F1: Options fully vested.