APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2016

Nov 18, 2016

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2016-11-17

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2016-11-17	Common Stock, $.001 par value	M	3924	$6.00	Acquired	26726	Direct
2016-11-17	Common Stock, $.001 par value	M	3899	$6.00	Acquired	30625	Direct
2016-11-17	Common Stock, $.001 par value	S	10000	$25.7359	Disposed	20625	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2016-11-17	Incentive Stock Option (Right to Buy)	$6.00	M	3924	Disposed	2020-08-23	Common Stock, $0.001 par value (3924)	Direct
2016-11-17	Incentive Stock Option (Right to Buy)	$6.00	M	3899	Disposed	2021-03-04	Common Stock, $0.001 par value (3899)	Direct

Footnotes

F1: The shares were sold in multiple transactions on November 17, 2016 at an actual sale price ranging from $25.60 to $25.85 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F2: Option fully vested.