APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2017

Jun 19, 2017

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2017-06-15

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2017-06-15	Common Stock, $.001 par value	M	3435	$7.50	Acquired	48721	Direct
2017-06-15	Common Stock, $.001 par value	M	6565	$9.96	Acquired	55286	Direct
2017-06-15	Common Stock, $.001 par value	S	10000	$60.1086	Disposed	45286	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2017-06-15	Incentive Stock Option (Right to Buy)	$7.50	M	3435	Disposed	2023-01-18	Common Stock, $0.001 par value (3435)	Direct
2017-06-15	Incentive Stock Option (Right to Buy)	$9.96	M	6565	Disposed	2023-09-26	Common Stock, $0.001 par value (6565)	Direct

Footnotes

F1: The shares were sold in multiple transactions on June 15, 2017 at an actual sale price ranging from $59.69 to $60.405 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: Options fully vested.