[144] Applied Optoelectronics, Inc. SEC Filing

Rhea-AI Filing Summary

Applied Optoelectronics, Inc. (AAOI) Form 144 shows insider Stefan Murry proposes to sell 12,000 common shares through Raymond James with an approximate aggregate market value of $268,200, with an approximate sale date of 08/15/2025. The shares were acquired as restricted stock units (RSUs): 5,215 on 01/23/2024 and 6,785 on 04/22/2024, which together account for the 12,000 shares to be sold. The filing lists 62,353,846 shares outstanding, and discloses prior sales by the same person during the last three months of 3,000 shares on 07/16/2025 (gross proceeds $82,377) and 2,000 shares on 06/16/2025 (gross proceeds $32,090). The filer certifies no undisclosed material adverse information and provides standard Rule 144 representations.

Insights

Securities Analyst

TL;DR: Routine insider sale of vested RSUs totaling 12,000 shares, representing a small fraction of outstanding shares, likely not material to valuation.

The filing documents a planned sale of 12,000 common shares acquired as RSUs in 2024, executed through a broker, with prior modest sales in June and July 2025. Relative to the issuer’s stated outstanding shares (62.35 million), these transactions are immaterial on a percentage basis (~0.019% of outstanding shares). This appears to reflect normal insider liquidity from vesting rather than a company-specific development. Investors typically view such filings as routine disclosure of insider dispositions rather than signals of operational change.

Corporate Governance Expert

TL;DR: Disclosure aligns with Rule 144 requirements; signer affirms no material nonpublic information, and transactions were from RSU vesting.

The form properly details acquisition dates, nature of acquisition (RSU), broker, and prior short-term dispositions. The explicit certification that the filer is unaware of undisclosed material adverse information is standard and important for compliance. The filing includes prior sales within three months, supporting aggregation requirements. From a governance perspective, the recordkeeping and transparency satisfy routine insider reporting expectations.

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
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

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

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	12000	268200.00	62353846	08/15/2025	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	01/23/2024	RSU	Issuer			5215	01/23/2024	N/A
Common	04/22/2024	RSU	Issuer			6785	04/22/2024	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
Stefan Murry 2007 Milford St Houston TX 77098	Common	07/16/2025	3000	82377.00
Stefan Murry 2007 Milford St Houston TX 77098	Common	06/16/2025	2000	32090.00

144: Remarks and Signature

Remarks

Date of Notice

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

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does AAOI Form 144 disclose about insider sales?

The filing shows insider Stefan Murry plans to sell 12,000 common shares (RSUs) via Raymond James, aggregate value $268,200, approx. sale date 08/15/2025.

How were the 12,000 AAOI shares acquired?

All 12,000 shares were acquired as RSUs: 5,215 on 01/23/2024 and 6,785 on 04/22/2024.

Has the filer sold AAOI shares recently?

Yes. The filer sold 3,000 shares on 07/16/2025 for $82,377 and 2,000 shares on 06/16/2025 for $32,090.

What portion of AAOI’s shares outstanding is 12,000 shares?

Based on the reported 62,353,846 shares outstanding, 12,000 shares represent approximately 0.019% of outstanding shares.

Does the filer assert possession of undisclosed material information?

The filer certifies they do not know any material adverse information about the issuer that has not been publicly disclosed.