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APPLIED OPTOELECTRONICS, INC. Director's Dealing 2014

Mar 6, 2014

31853_dirs_2014-03-06_70e215ee-0ca9-496d-a2ed-c86f0735b87e.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: 2014-03-04

Reporting Person: Chang Hung-Lun (Fred) (*** See Remarks below)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2014-03-04	Common Stock, $0.001 par value	M	751	$3.00	Acquired	3333	Direct
2014-03-04	Common Stock, $0.001 par value	F	306	$25.11	Disposed	3027	Direct
2014-03-04	Common Stock, $0.001 par value	M	2833	$4.50	Acquired	5860	Direct
2014-03-04	Common Stock, $0.001 par value	F	508	$25.11	Disposed	5352	Direct
2014-03-04	Common Stock, $0.001 par value	M	400	$7.50	Acquired	5752	Direct
2014-03-04	Common Stock, $0.001 par value	F	120	$25.11	Disposed	5632	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2014-03-04	Non-Qualified Stock Option (Right to Buy)	$3.00	M	751	Disposed	2014-12-31	Common Stock, $0.001 par value (751)	Direct
2014-03-04	Incentive Stock Option (Right to Buy)	$4.50	M	2833	Disposed	2014-07-31	Common Stock, $0.001 par value (2833)	Direct
2014-03-04	Incentive Stock Option (Right to Buy)	$7.50	M	400	Disposed	2015-06-09	Common Stock, $0.001 par value (400)	Direct

Footnotes

F1: Options fully vested.