APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2016

Jul 18, 2016

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2016-07-14

Reporting Person: Yeh Shu-Hua (Joshua) (*** See Remarks)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2016-07-14	Common Stock, $.001 par value	A	2667	—	Acquired	100408	Direct
2016-07-15	Common Stock, $.001 par value	A	2667	—	Acquired	103075	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2016-07-14	Non-Qualified Stock Option (Right to Buy)	$6.00	M	2667	Disposed	2019-10-19	Common Stock, $0.001 par value (2667)	Direct
2016-07-15	Non-Qualified Stock Option (Right to Buy)	$6.00	M	2667	Disposed	2019-10-19	Common Stock, $0.001 par value (2667)	Direct

Footnotes

F1: Options fully vested.