APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2015

Nov 2, 2015

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2015-10-29

Reporting Person: Murry Stefan J. (Chief Financial Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2015-10-29	Common Stock, $.001 par value	M	1444	$6.00	Acquired	10989	Direct
2015-10-29	Common Stock, $.001 par value	F	535	$21.30	Disposed	10454	Direct
2015-10-29	Common Stock, $.001 par value	M	2000	$6.00	Acquired	12454	Direct
2015-10-29	Common Stock, $.001 par value	F	741	$21.30	Disposed	11713	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2015-10-29	Incentive Stock Option (Right to Buy)	$6.00	M	1444	Disposed	2019-10-19	Common Stock, $.001 par value (1444)	Direct
2015-10-29	Incentive Stock Option (Right to Buy)	$6.00	M	2000	Disposed	2020-08-23	Common Stock, $.001 par value (2000)	Direct

Footnotes

F1: Options fully vested

F2: Represents a "net exercise" of outstanding stock options. The reporting person received 909 shares of common stock on net exercise of option to purchase 1,444 shares of common stock. The Company withheld 535 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on October 28, 2015 of $21.30, pursuant to the terms of the 2006 Stock Incentive Plan.

F3: Represents a "net exercise" of outstanding stock options. The reporting person received 1,259 shares of common stock on net exercise of option to purchase 2,000 shares of common stock. The Company withheld 741 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on October 28, 2015 of $21.30, pursuant to the terms of the 2006 Stock Incentive Plan.