Charles Schwab files Form 144 to sell 15,000 shares

Charles Schwab Corp. reported a Form 144 indicating a proposed sale of 15,000 common shares, filed with an effective date of 03/06/2026.

Accepted by SEC EDGAR 03/06/2026 - 04:10 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Charles Schwab Corp. reported a Form 144 indicating a proposed sale of 15,000 common shares, filed with an effective date of 03/06/2026.

The filing lists multiple vested RSU lots including 5,500 (vested 04/01/2014) and 6,965 (vested 05/30/2017 as securities related to the sale.

Insights

Securities Compliance Analyst

Form 144 notifies a proposed insider sale of 15,000 common shares.

The filing is a routine notice required when an affiliate intends to sell securities; it lists specific vested RSU lots by vesting date and share count. The primary reported quantity is 15,000 common shares with a filing date of 03/06/2026.

Because this is a procedural disclosure, actual market impact depends on whether and when the holder executes sales; subsequent Forms 4 or broker reports would show completed transactions and amounts realized.

FAQ

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

What does Charles Schwab Corp. Form 144 for AAOI mean?

It is a notice of an intended sale of 15,000 common shares. The filing lists vested RSU lots and notifies regulators of a proposed affiliate sale; execution and proceeds depend on later transactions and broker activity.

Which vested RSU lots are listed in the AAOI Form 144?

The filing lists multiple vested RSU lots, including 5,500 shares (04/01/2014) and 6,965 shares (05/30/2017). Several other smaller RSU vesting entries are also shown with their vesting dates.

Does the Form 144 confirm the sale was completed for AAOI?

No; Form 144 indicates an intended sale of 15,000 shares but does not confirm completion. A subsequent Form 4 or brokerage report would show actual sales and proceeds if executed.

When was the Form 144 for AAOI filed and what date is shown?

The filing shows an effective/filing date of 03/06/2026. That date indicates when the notice was submitted, not the settlement or execution date of any sale.

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	0001587425
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	Chen Min-Chu (Mike)
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	Charles Schwab Corp. 3000 Schwab Way Westlake TX 76262	15000	1485750.00	75198817	03/06/2026	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	04/01/2014	RSU Vesting	Issuer			5500	04/01/2014	N/A
Common	09/10/2018	RSU Vesting	Issuer			634	09/10/2018	N/A
Common	12/10/2018	RSU Vesting	Issuer			633	12/10/2018	N/A
Common	03/10/2019	RSU Vesting	Issuer			634	03/10/2019	N/A
Common	06/10/2019	RSU Vesting	Issuer			634	06/10/2019	N/A
Common	05/30/2017	RSU Vesting	Issuer			6965	05/30/2017	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

Nothing to Report

144: Remarks and Signature

Remarks
Date of Notice	03/06/2026
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	Min-Chu Chen
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)