APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2017

Jan 17, 2017

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2017-01-12

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2017-01-12	Common Stock, $.001 par value	A	7667	$0.00	Acquired	83409	Direct
2017-01-12	Common Stock, $.001 par value	A	6000	$0.00	Acquired	89409	Direct
2017-01-12	Common Stock, $.001 par value	A	4333	$0.00	Acquired	93742	Direct
2017-01-12	Common Stock, $.001 par value	A	13000	$0.00	Acquired	106742	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2017-01-12	Non-Qualified Stock Option (Right to buy)	$6.00	M	7667	Disposed	2020-08-23	Common Stock, $0.001 par value (7667)	Direct
2017-01-12	Non-Qualified Stock Option (Right to buy)	$6.00	M	6000	Disposed	2021-03-04	Common Stock, $0.001 par value (6000)	Direct
2017-01-12	Non-Qualified Stock Option (Right to buy)	$6.00	M	4333	Disposed	2022-05-22	Common Stock, $0.001 par value (4333)	Direct
2017-01-12	Non-Qualified Stock Option (Right to buy)	$6.00	M	13000	Disposed	2023-01-18	Common Stock, $0.001 par value (13000)	Direct

Footnotes

F1: Option fully vested.

F2: The stock option grant vested as to 1/4th of the total number of shares on January 18, 2013 and thereafter vested and shall continue to vest as to 1/6th of the remainder of the shares in equal semiannual installments until all shares have vested.