APPLIED OPTOELECTRONICS, INC. — Director's Dealing 2019

Sep 13, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: APPLIED OPTOELECTRONICS, INC. (AAOI)
CIK: 0001158114
Period of Report: 2019-09-11

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-09-11	Common Stock, $.001 par value	M	222	$6.00	Acquired	71600	Direct
2019-09-11	Common Stock, $.001 par value	F	157	$11.54	Disposed	71443	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-09-11	Non-Qualified Stock Option (Right to Buy)	$6.00	M	222	Disposed	2019-10-19	Common Stock, $0.001 par value (222)	Direct

Footnotes

F1: Reflects "net exercise" of outstanding stock options. The reporting person received 65 shares of common stock on net exercise of option to purchase 222 shares of common stock. The Company withheld 157 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing price on September 11, 2019 of $11.54, pursuant to the terms of the 2006 Incentive Share Plan.

F2: Options fully vested.