APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2018

Sep 6, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2018-09-04

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-09-04	Common Stock, $.001 par value	M	3800	$7.50	Acquired	69500	Direct
2018-09-04	Common Stock, $.001 par value	F	985	$41.36	Disposed	68515	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2018-09-04	Incentive Stock Option (Right to Buy)	$7.5	M	3800	Disposed	2023-01-18	Common Stock, $0.001 par value (3800)	Direct

Footnotes

F1: Reflects a "net exercise" of outstanding stock options. The reporting person received 2,815 shares of common stock on the net exercise of the option to purchase 3,800 shares of common stock. The Company withheld 985 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing price on August 31, 2018 of $41.36, pursuant to the terms of 2013 Equity Incentive Plan.

F2: Options fully vested.