SEC Filing | Applied Optoelectronics, Inc.

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SEC FORM 4 SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Kang Juen-Sheng (Andrew)

(Last)

(First)

(Middle)

C/O APPLIED OPTOELECTRONICS, INC.

13115 JESS PIRTLE BLVD.

(Street)

SUGAR LAND

77478

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
APPLIED OPTOELECTRONICS, INC. [ AAOI ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
10/01/2013

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock, $0.001 par value	10/01/2013		C		57,452	A	⁽¹⁾	57,452	I	By Techgains Global Corporation⁽⁷⁾
Common Stock, $0.001 par value	10/01/2013		C		16,904	A	⁽²⁾	16,904	I	By Techgains Global Corporation⁽⁷⁾
Common Stock, $0.001 par value	10/01/2013		C		6,748	A	⁽³⁾	6,748	I	By Techgains Global Corporation⁽⁷⁾
Common Stock, $0.001 par value	10/01/2013		C		83,757	A	⁽⁴⁾	83,757	I	By Techgains Global Corporation⁽⁷⁾
Common Stock, $0.001 par value	10/01/2013		C		34,245	A	⁽⁵⁾	34,245	I	By Techgains Global Corporation⁽⁷⁾
Common Stock, $0.001 par value	10/01/2013		C		45,004	A	⁽³⁾	45,004	I	By Techgains Pacific Century Fund⁽⁷⁾
Common Stock, $0.001 par value	10/01/2013		C		87,070	A	⁽⁴⁾	87,070	I	By Techgains Pacific Century Fund⁽⁷⁾
Common Stock, $0.001 par value	10/01/2013		C		23,809	A	⁽⁵⁾	23,809	I	By Techgains Pacific Century Fund⁽⁷⁾
Common Stock, $0.001 par value	10/01/2013		C		60,717	A	⁽⁶⁾	60,717	I	By Techgains Pan Pacific Corporation⁽⁷⁾
Common Stock, $0.001 par value	10/01/2013		C		107,828	A	⁽¹⁾	107,828	I	By Techgains Pan Pacific Corporation⁽⁷⁾
Common Stock, $0.001 par value	10/01/2013		C		16,904	A	⁽²⁾	16,904	I	By Techgains Pan Pacific Corporation⁽⁷⁾
Common Stock, $0.001 par value	10/01/2013		C		15,751	A	⁽³⁾	15,751	I	By Techgains Pan Pacific Corporation⁽⁷⁾
Common Stock, $0.001 par value	10/01/2013		C		143,359	A	⁽⁴⁾	143,359	I	By Techgains Pan Pacific Corporation⁽⁷⁾
Common Stock, $0.001 par value	10/01/2013		C		53,293	A	⁽⁵⁾	53,293	I	By Techgains Pan Pacific Corporation⁽⁷⁾
Common Stock, $0.001 par value	10/01/2013		C		19,047	A	⁽⁵⁾	19,047	I	By Technology Associates Management Company Ltd.⁽⁷⁾

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Series C Convertible Preferred Stock	⁽¹⁾	10/01/2013		C			24,864	⁽¹⁾	⁽¹⁾	Common Stock, $0.001 par value	57,452	⁽¹⁾	0	I	By Techgains Global Corporation⁽⁷⁾
Series D Convertible Preferred Stock	⁽²⁾	10/01/2013		C			6,666	⁽²⁾	⁽²⁾	Common Stock, $0.001 par value	16,904	⁽²⁾	0	I	By Techgains Global Corporation⁽⁷⁾
Series E Convertible Preferred Stock	⁽³⁾	10/01/2013		C			1,865	⁽³⁾	⁽³⁾	Common Stock, $0.001 par value	6,748	⁽³⁾	0	I	By Techgains Global Corporation⁽⁷⁾
Series F Convertible Preferred Stock	⁽⁴⁾	10/01/2013		C			69,797	⁽⁴⁾	⁽⁴⁾	Common Stock, $0.001 par value	83,757	⁽⁴⁾	0	I	By Techgains Global Corporation⁽⁷⁾
Series G Convertible Preferred Stock	⁽⁵⁾	10/01/2013		C			34,245	⁽⁵⁾	⁽⁵⁾	Common Stock, $0.001 par value	34,245	⁽⁵⁾	0	I	By Techgains Global Corporation⁽⁷⁾
Series E Convertible Preferred Stock	⁽³⁾	10/01/2013		C			12,437	⁽³⁾	⁽³⁾	Common Stock, $0.001 par value	45,004	⁽³⁾	0	I	By Techgains Pacific Century Fund⁽⁷⁾
Series F Convertible Preferred Stock	⁽⁴⁾	10/01/2013		C			72,558	⁽⁴⁾	⁽⁴⁾	Common Stock, $0.001 par value	87,070	⁽⁴⁾	0	I	By Techgains Pacific Century Fund⁽⁷⁾
Series G Convertible Preferred Stock	⁽⁵⁾	10/01/2013		C			23,809	⁽⁵⁾	⁽⁵⁾	Common Stock, $0.001 par value	23,809	⁽⁵⁾	0	I	By Techgains Pacific Century Fund⁽⁷⁾
Series A Convertible Preferred Stock	⁽⁶⁾	10/01/2013		C			19,135	⁽⁶⁾	⁽⁶⁾	Common Stock, $0.001 par value	60,717	⁽⁶⁾	0	I	By Techgains Pan Pacific Corporation⁽⁷⁾
Series C Convertible Preferred Stock	⁽¹⁾	10/01/2013		C			46,666	⁽¹⁾	⁽¹⁾	Common Stock, $0.001 par value	107,828	⁽¹⁾	0	I	By Techgains Pan Pacific Corporation⁽⁷⁾
Series D Convertible Preferred Stock	⁽²⁾	10/01/2013		C			6,666	⁽²⁾	⁽²⁾	Common Stock, $0.001 par value	16,904	⁽²⁾	0	I	By Techgains Pan Pacific Corporation⁽⁷⁾
Series E Convertible Preferred Stock	⁽³⁾	10/01/2013		C			4,353	⁽³⁾	⁽³⁾	Common Stock, $0.001 par value	15,751	⁽³⁾	0	I	By Techgains Pan Pacific Corporation⁽⁷⁾
Series F Convertible Preferred Stock	⁽⁴⁾	10/01/2013		C			119,464	⁽⁴⁾	⁽⁴⁾	Common Stock, $0.001 par value	143,359	⁽⁴⁾	0	I	By Techgains Pan Pacific Corporation⁽⁷⁾
Series G Convertible Preferred Stock	⁽⁵⁾	10/01/2013		C			53,293	⁽⁵⁾	⁽⁵⁾	Common Stock, $0.001 par value	53,293	⁽⁵⁾	0	I	By Techgains Pan Pacific Corporation⁽⁷⁾
Series G Convertible Preferred Stock	⁽⁵⁾	10/01/2013		C			19,047	⁽⁵⁾	⁽⁵⁾	Common Stock, $0.001 par value	19,047	⁽⁵⁾	0	I	By Technology Associates Management Company Ltd.⁽⁷⁾

Explanation of Responses:

1. Each share of Series C Convertible Preferred Stock converted into 2.310651 shares of the Issuer's common stock upon completion of the Issuer's initial public offering.

2. Each share of Series D Convertible Preferred Stock converted into 2.535960 shares of the Issuer's common stock upon completion of the Issuer's initial public offering.

3. Each share of Series E Convertible Preferred Stock converted into 3.618590 shares of the Issuer's common stock upon completion of the Issuer's initial public offering.

4. Each share of Series F Convertible Preferred Stock converted into 1.200019 shares of the Issuer's common stock upon completion of the Issuer's initial public offering.

5. Each share of Series G Convertible Preferred Stock converted into 1 share of the Issuer's common stock upon completion of the Issuer's initial public offering.

6. Each share of Series A Convertible Preferred Stock converted into 3.173126 shares of the Issuer's common stock upon completion of the Issuer's initial public offering.

7. The reporting person disclaims any and all pecuniary interests and beneficial ownership interests of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

	/s/ David C. Kuo for Juen-Sheng (Andrew) Kang	10/02/2013
	** Signature of Reporting Person	Date
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