Applied Optoelectronics officer proposes $720K sale

Raymond James & Associates, Inc. is listed as broker, and Nasdaq is named in the planned-sale details.

Rhea-AI Filing Summary

Applied Optoelectronics, Inc. (AAOI) is named as issuer in a Rule 144 notice for Shu-Hua Yeh (Joshua), identified as an officer, proposing the sale of 6,000 common shares on October 5, 2026. The notice lists an aggregate market value of $720,154.80. It also reports three prior sales: 1,285 shares for $154,238.00 on July 21, 2026; 4,715 shares for $596,430.00 on August 4, 2026; and 6,000 shares for $886,396.00 on August 18, 2026.

Key Figures

Proposed common shares for sale: 6,000 shares Aggregate market value: $720,154.80 Prior sale: 1,285 shares; $154,238.00 +2 more

5 metrics

Proposed common shares for sale 6,000 shares Proposed sale dated October 5, 2026

Aggregate market value $720,154.80 Proposed sale

Prior sale 1,285 shares; $154,238.00 July 21, 2026

Prior sale 4,715 shares; $596,430.00 August 4, 2026

Prior sale 6,000 shares; $886,396.00 August 18, 2026

Key Terms

Rule 144, RSU, attorney-in-fact

3 terms

Rule 144 regulatory

"sales required by paragraph (e) 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

"07/25/2023 | 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.

How many AAOI shares does Shu-Hua Yeh plan to sell?

Shu-Hua Yeh proposes to sell 6,000 common shares on October 5, 2026. The notice lists an aggregate market value of $720,154.80.

What prior AAOI stock sales by Shu-Hua Yeh are reported?

The reported sales were 1,285 shares for $154,238.00 on July 21, 2026; 4,715 shares for $596,430.00 on August 4, 2026; and 6,000 shares for $886,396.00 on August 18, 2026.

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

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Available on EDGAR 10/05/2026 - 05:29 PM Accepted by SEC EDGAR 10/05/2026 - 05:29 PM 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 FLORIDA 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 & Associates, Inc. 880 Carillon Parkway St Petersburg FL 33716	6000	720154.80	84569237	10/05/2026	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	07/25/2023	RSU	Issuer			6000	07/25/2023	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

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	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
Shu-Hua Yeh 4F No 111 Ln 20 Src 2 Zhiyu Rd Tapei City F5 111	Common	08/18/2026	6000	886396.00

144: Remarks and Signature

Remarks
Date of Notice	10/05/2026
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	Tracey Cornelison, 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)