Applied Optoelectronics officer plans $886K sale

APPLIED OPTOELECTRONICS, INC.

Rhea-AI Filing Summary

APPLIED OPTOELECTRONICS, INC. (AAOI) received a Rule 144 notice relating to planned secondary sales of its common stock by officer Yeh Shu‑Hua (Joshua). The notice covers a proposed sale of 6,000 common shares through Raymond James & Associates, Inc., with an aggregate market value of $886,396.20. AAOI had 84,569,237 common shares outstanding as of August 18, 2026; this is a baseline figure, not the amount being sold. The filer also reports several AAOI share sales over the prior three months.

Key Figures

Shares proposed to be sold: 6,000 shares Aggregate market value of proposed sale: $886,396.20 Shares outstanding: 84,569,237 shares +5 more

8 metrics

Shares proposed to be sold 6,000 shares Common stock to be sold through Raymond James & Associates, Inc. under Rule 144

Aggregate market value of proposed sale $886,396.20 Value of 6,000 AAOI common shares covered by the notice

Shares outstanding 84,569,237 shares AAOI common shares outstanding as of August 18, 2026

Sale on June 6, 2026 10,000 shares; $2,050,770.00 AAOI common stock sold by Yeh Shu-Hua during the past three months

Sale on June 18, 2026 6,000 shares; $1,031,280.00 AAOI common stock sold by Yeh Shu-Hua during the past three months

Sale on July 21, 2026 1,285 shares; $154,238.00 AAOI common stock sold by Yeh Shu-Hua during the past three months

Sale on August 4, 2026 4,715 shares; $596,430.00 AAOI common stock sold by Yeh Shu-Hua during the past three months

RSU-related shares 1,368 shares; 4,632 shares RSU-derived AAOI common stock dated April 24, 2023 and July 25, 2023

Key Terms

Rule 144, RSU, 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.

RSU financial

"Common | 04/24/2023 | RSU | iSSUER |"

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.

attorney-in-fact regulatory

"as attorney-in-fact for Shu-Hua Yeh"

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 a planned resale of 6,000 AAOI common shares by officer Yeh Shu‑Hua under Rule 144. It is a notice of potential secondary market sales and does not involve new share issuance by APPLIED OPTOELECTRONICS, INC.

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

The notice covers a proposed sale of 6,000 common shares of APPLIED OPTOELECTRONICS, INC. The filing lists Raymond James & Associates, Inc. as broker and states an aggregate market value of $886,396.20 for these shares.

How many APPLIED OPTOELECTRONICS, INC. (AAOI) shares are outstanding?

The filing states that 84,569,237 common shares of APPLIED OPTOELECTRONICS, INC. were outstanding as of August 18, 2026. This figure provides context for ownership and trading but is separate from the 6,000 shares covered by the notice.

What AAOI share sales has Yeh Shu-Hua reported in the past three months?

Yeh Shu‑Hua reported four AAOI common stock sales: 10,000 shares on June 6, 2026; 6,000 shares on June 18, 2026; 1,285 shares on July 21, 2026; and 4,715 shares on August 4, 2026, with total dollar amounts listed for each trade.

What is the reported value of the recent AAOI share sales by Yeh Shu-Hua?

The filing lists sale values of $2,050,770.00 (10,000 shares), $1,031,280.00 (6,000 shares), $154,238.00 (1,285 shares), and $596,430.00 (4,715 shares). These amounts reflect the aggregate proceeds for each reported AAOI common stock sale.

What types of AAOI securities underlie Yeh Shu-Hua’s holdings cited in the Form 144?

The filing references RSU-based AAOI common stock from the issuer, with entries dated April 24, 2023 for 1,368 shares and July 25, 2023 for 4,632 shares. These Restricted Stock Units represent equity-based compensation converted into common shares.

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

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Accepted by SEC EDGAR 08/18/2026 - 04:29 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 and Associates Inc. 880 Carillon Parkway St. Petersburg FL 33716	6000	886396.20	84569237	08/18/2026	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	04/24/2023	RSU	iSSUER			1368	04/24/2023	NA
Common	07/25/2023	RSU	Issuer			4632	07/25/2023	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	06/06/2026	10000	2050770.00
Shu-Hua Yeh 4F No 111 Ln 20 Src 2 Zhiyu Rd Tapei City, F5 111	Common	06/18/2026	6000	1031280.00
Shu-Hua Yeh 4F No 111 Ln 20 Src 2 Zhiyu Rd, Tapei City, F5 111	Common	07/21/2026	1285	154238.00
Shu-Hua Yeh 4F No 111 Ln 20 Src 2 Zhiyu Rd Tapei City F5 111	Common	08/04/2026	4715	596430.00

144: Remarks and Signature

Remarks
Date of Notice	08/18/2026
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)