Applied Optoelectronics officer plans 32,172-share sale

AAOI officer Chang Hung-Lun filed a Rule 144 notice to sell 32,172 shares, following recent open-market sales reported over the prior three months.

Available on EDGAR 09/09/2026 - 09:36 AM EDT Accepted by SEC EDGAR 09/09/2026 - 09:36 AM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

APPLIED OPTOELECTRONICS, INC. (AAOI) officer Chang Hung-Lun (Fred) filed a Rule 144 notice covering a proposed sale of 32,172 shares of common stock through Raymond James & Associates on Nasdaq. The notice also lists prior sales over the last three months totaling 74,329 shares of AAOI common stock.

Key Figures

Shares proposed to be sold: 32,172 shares Shares sold June 12, 2026: 34,000 shares Dollar amount June 12, 2026 sale: $5,662,149.00 +4 more

7 metrics

Shares proposed to be sold 32,172 shares Common stock covered by the Rule 144 notice

Shares sold June 12, 2026 34,000 shares Common stock sold by Hung‑Lun Chang during the past 3 months

Dollar amount June 12, 2026 sale $5,662,149.00 Reported amount for 34,000 AAOI shares sold

Shares sold June 17, 2026 40,329 shares Common stock sold by Hung‑Lun Chang during the past 3 months

Dollar amount June 17, 2026 sale $6,880,027.00 Reported amount for 40,329 AAOI shares sold

Shares outstanding 84,906,289 shares AAOI common shares outstanding referenced with the broker line

Date of Notice September 8, 2026 Date on which the Form 144 notice is dated

Key Terms

Rule 144, Form 144, attorney-in-fact

3 terms

Rule 144 regulatory

"See the definition of "person" in paragraph (a) of Rule 144."

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

Form 144 regulatory

"144: Filer Information"

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.

attorney-in-fact regulatory

"as attorney-in-fact for Hung-Lun Chang"

An attorney-in-fact is the person or entity given legal authority through a power of attorney to act on behalf of another for specific tasks, such as signing documents, voting shares, or handling transactions. For investors, this matters because it lets a trusted representative make timely decisions or complete paperwork when the owner cannot, much like handing keys to someone to run errands on your behalf—so checks on scope and limits of that authority are important.

FAQ

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

What does the Form 144 filing mean for APPLIED OPTOELECTRONICS, INC. (AAOI)?

The Form 144 reports that officer Chang Hung‑Lun (Fred) intends to sell 32,172 shares of AAOI common stock under Rule 144 through Raymond James & Associates on Nasdaq. It is a notice of a proposed resale of securities, not an issuance by the company.

How many AAOI shares are proposed to be sold under this Form 144?

The notice covers a proposed sale of 32,172 shares of APPLIED OPTOELECTRONICS, INC. common stock. These shares are indicated as being sold through Raymond James & Associates, Inc. on Nasdaq.

What AAOI share sales has Chang Hung-Lun reported in the last three months?

Over the past three months, the filing lists two sales by Hung‑Lun Chang: 34,000 shares of common stock sold on June 12, 2026 and 40,329 shares sold on June 17, 2026, for reported dollar amounts of $5,662,149.00 and $6,880,027.00, respectively.

Who is the broker for the proposed AAOI share sale in this Form 144?

The proposed sale of 32,172 AAOI common shares is listed as being through Raymond James & Associates, Inc., located at 880 Carillon Parkway, Saint Petersburg, Florida. The filing also indicates Nasdaq as the trading market.

What is the relationship of the selling security holder to APPLIED OPTOELECTRONICS, INC. (AAOI)?

The person for whose account the securities are to be sold is Chang Hung‑Lun (Fred), identified in the filing as an Officer of APPLIED OPTOELECTRONICS, INC.

When was the Form 144 notice for AAOI shares dated?

The Form 144 notice for the proposed sale of 32,172 AAOI shares is dated September 8, 2026. The document is signed by Tracey Cornelison as authorized representative of Raymond James & Associates, Inc., acting as attorney-in-fact for Hung‑Lun Chang.

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

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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	0001587462
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	Chang Hung-Lun (Fred)
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, Inc. 880 Carillon Parkway SAINT PETERSBURG FL 33716	32172	3545727.60	84906289	09/08/2026	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	05/19/2026	PSU	Issuer			32172	05/19/2026	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
Hung-Lun Chang 5515 Regency Dr. Sugar Land TX 77479	Common	06/12/2026	34000	5662149.00
Hung-Lun 5515 Regency Dr. Sugar Land TX 77479	Common	06/17/2026	40329	6880027.00

144: Remarks and Signature

Remarks	Original Accession Number 0001974078-26-000346
Date of Notice	09/08/2026
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	Tracey Cornelison, as duly authorized representative of Raymond James & Associates, Inc., as attorney-in-fact for Hung-Lun Chang
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)