Raymond James files Form 144 to sell 15,000 AAOI shares

Raymond James & Associates filed a Form 144 reporting the proposed sale of 15,000 common shares of AAOI with a filing date of 03/09/2026.

Accepted by SEC EDGAR 03/09/2026 - 04:12 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Raymond James & Associates filed a Form 144 reporting the proposed sale of 15,000 common shares of AAOI with a filing date of 03/09/2026. The filing lists related RSU awards: 4,121 (12/09/2024), 5,500 (04/02/2014) and 5,379 (12/11/2023).

Insights

Securities Counsel

Form 144 notifies the market of an intended broker-assisted sale.

Form 144 is a regulatory notice of a proposed sale under Section 16(b)/Rule 144; the filing here shows a broker (Raymond James & Associates) and a proposed quantity of 15,000 common shares dated 03/09/2026. The filing lists prior RSU awards with grant dates and quantities as documented.

Cash‑flow treatment and exact timing of trades are not stated in the excerpt; subsequent transaction details will appear in trade reports or later insider filings if sales occur.

FAQ

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

What does the Form 144 filed for AAOI mean?

It is a regulatory notice of a proposed sale of securities. The filing reports a broker-assisted sale of 15,000 AAOI common shares with a filing date of 03/09/2026, notifying the SEC and market of the intended disposition.

Who is the broker listed on the AAOI Form 144?

The broker shown is Raymond James & Associates, located at 880 Carillon Parkway, St. Petersburg, FL. The Form 144 excerpt identifies that broker in connection with the proposed sale.

Does the Form 144 show proceeds from the sale of AAOI shares?

The provided excerpt does not specify proceeds or price per share. The filing lists the proposed quantity of 15,000 shares dated 03/09/2026, but no explicit aggregate sale proceeds are shown in the excerpt.

What RSU awards are listed in the filing for AAOI?

The excerpt lists RSU awards of 4,121 shares (granted 12/09/2024), 5,500 shares (granted 04/02/2014), and 5,379 shares (granted 12/11/2023), each identified by grant date and quantity.

Will this Form 144 change AAOI ownership immediately?

No immediate ownership change is recorded by the notice alone. Form 144 signals intent to sell 15,000 shares; actual ownership changes occur only if and when trades settle and are reported in subsequent filings or trade records.

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

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

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	0001587419
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 William H
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	Director

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	15000	1586338.48	75198817	03/09/2026	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	12/09/2024	RSU Award	Issuer			4121	12/09/2024	N/A
Common	04/02/2014	RSU Award	Issuer			5500	04/02/2014	N/A
Common	12/11/2023	RSU Award	Issuer			5379	12/11/2023	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	03/09/2026
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	Maressia Rooks-Bailey, as duly authorized representative of Raymond James & Associates, Inc., as attorney-in-fact for William H Yeh
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)