Form 144: Kuo David C proposes sale of 29,227 shares

Kuo David C submitted a Form 144 reporting proposed sale of 29,227 common shares with an apparent filing date of 06/12/2026.

Rhea-AI Filing Summary

Kuo David C submitted a Form 144 reporting proposed sale of 29,227 common shares with an apparent filing date of 06/12/2026. The filing also lists prior reported sales of 29,000 shares on 03/19/2026 and 19,227 shares on 05/19/2026 with corresponding proceeds shown.

Insights

Securities Compliance Counsel

Form 144 notice: proposed resale by an affiliate; prior dispositions listed.

The filing lists a proposed sale of 29,227 common shares dated 06/12/2026 and records prior disposals of 29,000 shares (03/19/2026) and 19,227 shares (05/19/2026). The document functions as a sale notice under resale rules rather than an issuer capital-raising action.

Cash-flow treatment and buyer types are not shown in the excerpt; subsequent trade execution and settlement details would appear in market records or follow-up filings if and when sales occur.

Key Figures

Proposed resale: 29,227 shares Prior sale: 29,000 shares Prior sale: 19,227 shares

3 metrics

Proposed resale 29,227 shares proposed sale dated 06/12/2026

Prior sale 29,000 shares sold on 03/19/2026 with proceeds 2,903,700.40

Prior sale 19,227 shares sold on 05/19/2026 with proceeds 1,218,703.63

Key Terms

Form 144, PSU, Issuer

3 terms

Form 144 regulatory

"submitted a Form 144 reporting proposed sale"

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.

PSU financial

"COMMON SHARES | 06/12/2026 | PSU | ISSUER"

A PSU is a company where the government owns a controlling stake and often plays a direct role in its management and strategy. Think of it like a business that operates with public oversight, similar to a town-run utility versus a private neighborhood service. Investors watch PSUs differently because government involvement can affect profits, dividend policies, regulatory treatment and stability, so these stocks may behave more like policy instruments than pure market-driven enterprises.

Issuer regulatory

"PSU | ISSUER | 29227 | 06/12/2026"

FAQ

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

What does the AAOI Form 144 from Kuo David C report?

It reports a proposed resale of 29,227 common shares with a filing date of 06/12/2026. The notice also lists prior reported sales of 29,000 shares (03/19/2026) and 19,227 shares (05/19/2026).

How many shares did Kuo David C sell earlier in 2026 according to the filing?

The filing lists earlier dispositions of 29,000 shares on 03/19/2026 and 19,227 shares on 05/19/2026, each with corresponding proceeds displayed in the excerpt.

Does the Form 144 state who will receive the sale proceeds?

The excerpt shows dollar amounts next to prior sales but does not explicitly state who receives proceeds; the filing format typically reflects resale proceeds information without naming the buyer or use of proceeds.

Is the Form 144 an issuer registration or a resale notice for AAOI?

This document is a resale notice under Form 144 filed by an affiliate (seller) for proposed sale of common shares, not a Securities Act registration of new issuer shares.

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

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Accepted by SEC EDGAR 06/12/2026 - 07:18 AM 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	0001587422
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	Kuo David C
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
Relationship to Issuer	SENIOR VICE PRESIDENT AND CHIEF LEGAL 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 STOCK	CITIGROUP GLOBAL MARKETS 390 GREENWICH ST NEW YORK NY 10013	29227	5049841.06	80242767	06/12/2026	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 SHARES	06/12/2026	PSU	ISSUER			29227	06/12/2026	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
Kuo David C 13139 JESS PIRTLE BLVD SUGARLAND TX 77478	COMMON SHARES	03/19/2026	29000	2903700.40
Kuo David C 13139 JESS PIRTLE BLVD SUGARLAND TX 77478	COMMON SHARES	05/19/2026	19227	1218703.63

144: Remarks and Signature

Remarks	SECTION 3 D BASED ON JUNE 11 CLOSING PRICE 172.78
Date of Notice	06/12/2026
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	CONFORMED SIGNATURE ON FILE
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)