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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1158114	Applied Optoelectronics Inc.	AAOI	Semiconductors & Related Devices (3674)	760533927

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1587420	(Thompson) Chih-Hsiang Lin	C/O Applied Optoelectronics, Inc. 13139 Jess Pirtle Blvd. Sugar Land TX 77478	President And Ceo	Yes	Yes	No	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock, $.001 Par Value	Acquisiton	2017-11-16	80,000	$9.96	522,837	No	4	M	Direct
Common Stock, $.001 Par Value	Disposition	2017-11-16	43,749	$45.40	479,088	No	4	F	Direct
Common Stock, $.001 Par Value	Disposition	2017-11-16	1,300	$45.30	477,788	No	4	S	Direct
Common Stock, $.001 Par Value	Disposition	2017-11-20	2,300	$45.20	475,488	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	F	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock, $0.001 Par Value	Non-Qualified Stock Option (Right to Buy)	Disposition	2017-11-16	80,000	$0.00	80,000	$9.96

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
393,905		2023-09-26	No	4	M	Direct

Footnotes

Represents a "net exercise" of outstanding stock options. The reporting person received 36,251 shares of common stock on net exercise of option to purchase 80,000 shares of common stock. The Company withheld 43,749 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on November 15, 2017 of $45.40, pursuant to the terms of the 2013 Equity Incentive Plan.
The shares were sold in multiple transactions on November 16, 2017 at an actual sale price $45.30 per share. 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 during each transaction.
The shares were sold in multiple transactions on November 20, 2017 at an actual sale price $45.20 per share. 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 during each transaction.
Options fully vested.