APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2016

Sep 14, 2016

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2016-09-13

Reporting Person: Lin Chih-Hsiang (Thompson) (Director, President and CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2016-09-13	Common Stock, $.001 par value	M	10000	$6.00	Acquired	222873	Direct
2016-09-13	Common Stock, $.001 par value	F	2939	$20.42	Disposed	219934	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2016-09-13	Incentive Stock Option (Right to Buy)	$6.00	M	10000	Disposed	2020-08-23	Common Stock, $0.001 par value (10000)	Direct

Footnotes

F1: Represents a "net exercise" of outstanding stock options. The reporting person received 7,061 shares of common stock on net exercise of option to purchase 10,000 shares of common stock. The Company withheld 2,939 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on September 13, 2016 of $20.42, pursuant to the terms of the 2006 Stock Incentive Plan.

F2: Options fully vested.