APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2017

Jul 31, 2017

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2017-07-31

Reporting Person: Kuo David C (General Counsel and Secretary)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2017-07-31	Common Stock, $.001 par value	F	172	$96.64	Disposed	23753	Direct
2017-07-31	Common Stock, $.001 par value	M	300	$13.84	Acquired	24053	Direct
2017-07-31	Common Stock, $.001 par value	S	578	$96.4704	Disposed	23475	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2017-07-31	Incentive Stock Option (Right to Buy)	$13.84	M	300	Disposed	2024-01-28	Common Stock, $0.001 par value (300)	Direct

Footnotes

F1: Reflects shares surrendered to the Issuer to satisfy tax-withholding obligations upon the vesting of restricted stock.

F2: The sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 7, 2017.

F3: The shares were sold in multiple transactions on July 31, 2017 at an actual sale price ranging from $96.46 to $96.48 per share. The price reported reflected 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 during each transaction.

F4: The Incentive stock option award vested as to 1/4th of the total number of shares on January 28, 2014 and 1/8th of the shares vest every six months thereafter.