APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2017

Mar 15, 2017

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2017-03-13

Reporting Person: Murry Stefan J. (Chief Financial Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2017-03-13	Common Stock, $.001 par value	M	334	$9.96	Acquired	62028	Direct
2017-03-13	Common Stock, $.001 par value	M	666	$9.96	Acquired	62694	Direct
2017-03-13	Common Stock, $.001 par value	S	1000	$50.9540	Disposed	61694	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2017-03-13	Incentive Stock Option (Right to Buy)	$9.96	M	334	Disposed	2023-09-26	Common Stock, $0.001 par value (334)	Direct
2017-03-13	Non-Qualified Stock Option (Right to Buy)	$9.96	M	666	Disposed	2023-09-26	Common Stock, $0.001 par value (666)	Direct

Footnotes

F1: The shares were sold in multiple transactions on March 13, 2017 at an actual sale price $50.954 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: The stock option award (combined incentive stock option and non-qualified stock option) vested as to 1/4th of the total number of shares on September 26, 2014 and 1/6th of the shares vest every six months thereafter.