Shareholder plans AAOI stock sale under Form 144

A shareholder of AAOI, identified as Shu-Hua Yeh, has filed to sell shares of the company’s common stock under a Form 144 notice.

Rhea-AI Filing Summary

A shareholder of AAOI, identified as Shu-Hua Yeh, has filed to sell shares of the company’s common stock under a Form 144 notice. The planned sale lists 1,285 shares of common stock to be sold through Raymond James & Associates, with an aggregate market value of $154,237.52, and the security is listed on NASDAQ. The filing also reports that during the past three months, the same shareholder sold 10,000 shares of common stock on June 5, 2026 for $2,050,770.00 and 6,000 shares on June 18, 2026 for $1,031,280.00. Some of the shares relate to a prior RSU Award dated October 24, 2022.

Key Figures

Planned shares to be sold: 1,285 shares Planned sale market value: $154,237.52 Sale on June 5, 2026: 10,000 shares; $2,050,770.00 +3 more

6 metrics

Planned shares to be sold 1,285 shares Common stock listed to be sold through Raymond James & Associates

Planned sale market value $154,237.52 Aggregate market value associated with the 1,285 common shares

Sale on June 5, 2026 10,000 shares; $2,050,770.00 Common shares sold during the past three months by the filer

Sale on June 18, 2026 6,000 shares; $1,031,280.00 Additional common shares sold during the past three months

RSU Award date 10/24/2022 Date of RSU Award from which 1,285 common shares originated

Planned sale date 07/21/2026 Date associated with the planned Form 144 sale entry

Key Terms

Form 144, RSU Award, common stock, NASDAQ

4 terms

Form 144 regulatory

"Shareholder of AAOI has filed to sell shares under a Form 144 notice"

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.

RSU Award financial

"Common | 10/24/2022 | RSU Award | Issuer | | | 1285"

common stock financial

"The planned sale lists 1,285 shares of common stock to be sold"

Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.

NASDAQ market

"the security is listed on NASDAQ in the securities information section"

The Nasdaq is a stock exchange where many companies' shares are bought and sold, functioning much like a marketplace for investments. It matters to investors because it provides a platform to buy and sell ownership stakes in companies, helping them track the value of those companies and make informed decisions. As one of the largest and most technology-focused markets, it also reflects trends and developments in the business world.

FAQ

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

What does the Form 144 filing for AAOI disclose?

The filing discloses that shareholder Shu-Hua Yeh plans to sell 1,285 AAOI common shares through Raymond James & Associates, with an aggregate market value of $154,237.52, and reports additional sales made in the prior three months.

How many AAOI shares is the shareholder planning to sell under this Form 144?

The shareholder plans to sell 1,285 shares of AAOI common stock. These shares are to be sold through Raymond James & Associates and have a reported aggregate market value of $154,237.52 in the notice.

What AAOI share sales were made in the past three months by this filer?

The filer sold 10,000 AAOI common shares on June 5, 2026 for $2,050,770.00 and 6,000 shares on June 18, 2026 for $1,031,280.00, according to the Form 144 disclosure of prior three‑month sales.

Who is the selling security holder in the AAOI Form 144?

The selling security holder is identified as Shu-Hua Yeh. The Form 144 lists this individual as the holder of AAOI common stock involved in both the planned sale and the sales completed during the prior three months.

Which broker is handling the planned AAOI stock sale in the Form 144?

The planned sale of 1,285 AAOI shares is listed through Raymond James & Associates, located at 880 Carillon Parkway, St. Petersburg, FL 33716, which is named as the broker in the Form 144 securities information section.

What is the connection between the AAOI shares and the RSU Award mentioned?

The securities information notes an RSU Award dated October 24, 2022 issued by the company as the source of 1,285 common shares, indicating these shares originated from a restricted stock unit grant before becoming eligible for resale.

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

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Accepted by SEC EDGAR 07/21/2026 - 04:49 PM 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	1285	154237.52	80242767	07/21/2026	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	10/24/2022	RSU Award	Issuer			1285	10/24/2022	NA

* 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	06/05/2026	10000	2050770.00
Shu-Hua Yeh 4F No 111 Ln 20 Src 2 Zhiyu Rd, Tapei City, F5 11	Common	06/18/2026	6000	1031280.00

144: Remarks and Signature

Remarks
Date of Notice	07/21/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	03/19/2026
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)