APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2018

Mar 15, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2018-03-13

Reporting Person: Lin Chih-Hsiang (Thompson) (Director, President and CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-03-13	Common Stock, $.001 par value	M	80000	$9.96	Acquired	680799	Direct
2018-03-13	Common Stock, $.001 par value	F	47095	$30.95	Disposed	633704	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2018-03-13	Non-Qualified Stock Option (Right to Buy)	$9.96	M	80000	Disposed	2023-09-26	Common Stock, $0.001 par value (80000)	Direct

Footnotes

F1: Reflects a "net exercise" of outstanding stock options. The reporting person received 32,905 shares of common stock on net exercise of option to purchase 80,000 shares of common stock. The Company withheld 47,095 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on March 12, 2018 of $30.95, pursuant to the terms of the 2013 Equity Incentive Plan.

F2: Options fully vested.