<SEC-DOCUMENT>0001683168-16-000732.txt : 20161118
<SEC-HEADER>0001683168-16-000732.hdr.sgml : 20161118
<ACCEPTANCE-DATETIME>20161118190249
ACCESSION NUMBER:		0001683168-16-000732
CONFORMED SUBMISSION TYPE:	4
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20161116
FILED AS OF DATE:		20161118
DATE AS OF CHANGE:		20161118

ISSUER:		

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			APPLIED OPTOELECTRONICS, INC.
		CENTRAL INDEX KEY:			0001158114
		STANDARD INDUSTRIAL CLASSIFICATION:	SEMICONDUCTORS & RELATED DEVICES [3674]
		IRS NUMBER:				760533927
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	BUSINESS ADDRESS:	
		STREET 1:		13139 JESS PIRTLE BLVD
		CITY:			SUGAR LAND
		STATE:			TX
		ZIP:			77478
		BUSINESS PHONE:		281-295-1800

	MAIL ADDRESS:	
		STREET 1:		13139 JESS PIRTLE BLVD
		CITY:			SUGAR LAND
		STATE:			TX
		ZIP:			77478

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	APPLIED OPTOELECTRONICS INC
		DATE OF NAME CHANGE:	20010824

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			Murry Stefan J.
		CENTRAL INDEX KEY:			0001587599

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-36083
		FILM NUMBER:		162008840

	MAIL ADDRESS:	
		STREET 1:		13139 JESS PIRTLE BLVD.
		CITY:			SUGAR LAND
		STATE:			TX
		ZIP:			77478
</SEC-HEADER>
<DOCUMENT>
<TYPE>4
<SEQUENCE>1
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<DESCRIPTION>OWNERSHIP DOCUMENT
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        <issuerName>APPLIED OPTOELECTRONICS, INC.</issuerName>
        <issuerTradingSymbol>AAOI</issuerTradingSymbol>
    </issuer>

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            <rptOwnerName>Murry Stefan J.</rptOwnerName>
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            <rptOwnerStreet2>13139 JESS PIRTLE BLVD.</rptOwnerStreet2>
            <rptOwnerCity>SUGAR LAND</rptOwnerCity>
            <rptOwnerState>TX</rptOwnerState>
            <rptOwnerZipCode>77478</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
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            <isOfficer>1</isOfficer>
            <isTenPercentOwner>0</isTenPercentOwner>
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            <officerTitle>Chief Financial Officer</officerTitle>
            <otherText></otherText>
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    <derivativeTable>
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                <value>2020-08-23</value>
            </expirationDate>
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                <value>2022-05-22</value>
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    <footnotes>
        <footnote id="F1">Represents a &quot;net exercise&quot; of outstanding stock options. The reporting person received 4,290 shares of common stock on net exercise of option to purchase 5,667 shares of common stock. The Company withheld 1,377 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on November 15, 2016 of $24.70, pursuant to the terms of the 2006 Stock Incentive Plan.</footnote>
        <footnote id="F2">Represents a &quot;net exercise&quot; of outstanding stock options. The reporting person received 5,047 shares of common stock on net exercise of option to purchase 6,667 shares of common stock. The Company withheld 1,620 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on November 15, 2016 of $24.70, pursuant to the terms of the 2006 Stock Incentive Plan.</footnote>
        <footnote id="F3">Represents a &quot;net exercise&quot; of outstanding stock options. The reporting person received 3,280 shares of common stock on net exercise of option to purchase 4,333 shares of common stock. The Company withheld 1,053 shares of common stock underlying the option for payment of the exercise price and tax withholdings, using the closing stock price on November 15, 2016 of $24.70, pursuant to the terms of the 2006 Stock Incentive Plan.</footnote>
        <footnote id="F4">The shares were sold in multiple transactions on November 17, 2016 at an actual sale price ranging from $25.65 to $25.79 per share. The price reported reflects the weighted average sale price for the transactions. 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 at each separate price.</footnote>
        <footnote id="F5">Option fully vested.</footnote>
    </footnotes>

    <ownerSignature>
        <signatureName>/s/ David C. Kuo, attorney in fact for Stefan J. Murry</signatureName>
        <signatureDate>2016-11-18</signatureDate>
    </ownerSignature>
</ownershipDocument>
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</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
