AAOI Form 144: 50,000 Shares Reported Sold

AAOI filed a Form 144 reporting a sale of securities and listing RSU awards.

Rhea-AI Filing Summary

AAOI filed a Form 144 reporting a sale of securities and listing RSU awards. The filing reports a sale of 50,000 shares on 03/06/2026 for $4,854,880.00. It also lists RSUs of 15,918 and 9,082 shares with grant dates 06/26/2024 and 07/22/2024, respectively.

Insights

Securities Compliance Counsel

Form 144 discloses a reported resale and lists issuer RSU awards.

The filing shows a reported sale of $4,854,880.00 for 50,000 shares on 03/06/2026. This is a resale notice required when securities are sold under Rule 144; the filing lists the transaction amount and date.

Timing and transfer mechanics beyond the reported sale are not detailed here; subsequent SEC or broker filings may show settlement details.

Capital Markets Analyst

Transaction scale is explicit in the filing but its market impact is not indicated.

The excerpt lists RSU grant quantities of 15,918 and 9,082 with grant dates in 06/2024 and 07/2024, and a resale of 50,000 shares on 03/06/2026. The cash figure $4,854,880.00 is shown alongside that sale.

Cash‑flow treatment and holder identity consequences are not described; further filings would be needed for context on dilution or holder identity.

Key Figures

Shares sold (resale): 50,000 shares Gross proceeds shown: $4,854,880.00 RSU grant: 15,918 shares +1 more

4 metrics

Shares sold (resale) 50,000 shares sale dated <date>03/06/2026</date>

Gross proceeds shown <money>$4,854,880.00</money> paired with the 50,000‑share sale on <date>03/06/2026</date>

RSU grant 15,918 shares RSU grant dated <date>06/26/2024</date>

RSU grant 9,082 shares RSU grant dated <date>07/22/2024</date>

Key Terms

RSU, Form 144, resale

3 terms

RSU financial

"RSU | issuer | 15918 | 06/26/2024"

Restricted stock units (RSUs) are a form of company shares given to employees as part of their compensation, usually with certain restrictions or conditions, such as remaining with the company for a set period. When these restrictions lift, employees receive actual shares that they can sell or hold. For investors, RSUs can impact a company's stock supply and reflect the company's commitment to attracting and retaining talent.

Form 144 regulatory

"144: Securities Sold During The Past 3 Months"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

resale financial

"144: Securities Sold During The Past 3 Months | Common | 03/06/2026 | 50000"

Resale is the act of selling an item, asset, or security by someone who previously bought it rather than by the original maker or issuer. It matters to investors because resale activity affects how easily an investment can be sold, the price buyers are willing to pay, and the potential profit or loss — like selling a used car: condition, demand and market rules determine what you can get for it.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does AAOI's Form 144 report?

It reports a resale of 50,000 shares on 03/06/2026 for $4,854,880.00, and lists RSU awards of 15,918 and 9,082 with grant dates in 06/2024 and 07/2024.

Does the Form 144 show who sold AAOI shares?

The provided excerpt does not identify the selling holder by name in the sale row; it records the sale quantity and gross amount. The filing text here lists an address earlier but does not attribute the 50,000‑share sale to a named seller in the visible lines.

Are the RSUs in AAOI's filing being sold now?

The filing lists RSU award quantities dated 06/26/2024 and 07/22/2024. It does not state that those RSUs were sold on the 03/06/2026 resale; the RSUs are listed separately from the reported 50,000‑share sale.

What does the $4,854,880.00 figure represent in AAOI's Form 144?

The excerpt pairs $4,854,880.00 with the 50,000 shares reported on 03/06/2026, indicating gross proceeds associated with that resale row as shown in the filing excerpt.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 06/04/2026 - 05:01 PM EDT Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001587600
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	APPLIED OPTOELECTRONICS, INC.
SEC File Number	001-36083
Address of Issuer	13139 JESS PIRTLE BLVD SUGAR LAND TEXAS 77478
Phone	281-295-1800
Name of Person for Whose Account the Securities are To Be Sold	Yeh Shu-Hua (Joshua)
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Officer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Raymond James & Associates 880 Carillon Parkway St. Petersburg FL 33716	25000	5530000.00	80242767	06/04/2026	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	06/26/2024	RSU	issuer			15918	06/26/2024	N/A
Common	07/22/2024	RSU	Issuer			9082	07/22/2024	N/A

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
Shu-Hua Yeh 4F No 111 Ln 20 Src 2 Zhiyu Rd Tapei City F5 111	Common	03/06/2026	50000	4854880.00

144: Remarks and Signature

Remarks
Date of Notice	06/04/2026
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	Rashida Mitchell, as duly authorized representative of Raymond James & Associates, Inc., as attorney-in-fact for Shu-Hua Yeh
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)