Applied Optoelectronics officer proposes $6.88M sale

The notice also lists a March 18, 2026 plan-adoption or instruction date for potential reliance on Rule 10b5-1.

Accepted by SEC EDGAR 06/17/2026 - 02:16 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Applied Optoelectronics, Inc. officer Chang Hung-Lun (Fred) reported a proposed sale of 40,329 common shares, with an aggregate market value of $6,880,026.58 and an approximate sale date of June 17, 2026. Raymond James & Associates is listed as the broker. The notice lists March 18, 2026 as the plan-adoption or instruction date if relying on Rule 10b5-1.

Key Figures

Proposed sale: 40,329 common shares Aggregate market value: $6,880,026.58 Shares outstanding: 80,242,767 shares +3 more

6 metrics

Proposed sale 40,329 common shares Approximate sale date June 17, 2026

Aggregate market value $6,880,026.58 Proposed sale

Shares outstanding 80,242,767 shares Count stated in the securities information

Past sale 34,000 shares; $5,662,149.00 gross proceeds June 12, 2026

Past sale 4,000 shares; $800,307.00 gross proceeds June 5, 2026

Past sale 33,630 shares; $5,629,844.00 gross proceeds May 19, 2026

Key Terms

RSU, PSU, Rule 10b5-1

3 terms

RSU financial

"Nature of Acquisition Transaction: RSU"

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.

PSU financial

"Nature of Acquisition Transaction: PSU"

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.

Rule 10b5-1 regulatory

"Relying on Rule 10b5-1"

Rule 10b5-1 is a regulation that allows company insiders to buy or sell their shares at predetermined times, even if they have access to non-public information. It acts like setting a schedule in advance for transactions, helping prevent accusations of unfair trading. This rule provides a way for insiders to plan trades transparently, giving investors confidence that these transactions are not based on hidden information.

FAQ

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

How many AAOI shares did Chang Hung-Lun (Fred) propose to sell?

Chang Hung-Lun (Fred) reported a proposed sale of 40,329 common shares, with an aggregate market value of $6,880,026.58 and an approximate sale date of June 17, 2026.

What AAOI shares did Hung-Lun Chang sell in the prior three months?

The notice lists sales of 34,000 shares on June 12, 2026 for gross proceeds of $5,662,149.00; 4,000 shares on June 5, 2026 for $800,307.00; and 33,630 shares on May 19, 2026 for $5,629,844.00.

What Rule 10b5-1 date is listed for the proposed AAOI sale?

The notice lists March 18, 2026 as the date of plan adoption or giving of instruction, if relying on Rule 10b5-1.

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

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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	0001587462
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	Chang Hung-Lun (Fred)
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 880 Carillon Parkway St. Petersburg FL 33716	40329	6880026.58	80242767	06/17/2026	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			4632	07/25/2023	NA
Common	10/23/2023	RSU	Issuer			1881	10/23/2023	NA
Common	07/22/2024	RSU	Issuer			7924	07/22/2024	NA
Common	04/22/2025	RSU	iSSUER			9642	05/22/2025	NA
Common	05/01/2025	RSU	Issuer			1250	05/01/2025	NA
Common	05/14/2025	PSU	issuer			15000	05/14/2025	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
Hung-Lun Chang 5515 Regency Dr. Sugar Land, TX 77479	Common	06/12/2026	34000	5662149.00
Hung-Lun Chang 5515 Regency Dr., Sugar Land TX 77479	Common	06/05/2026	4000	800307.00
Hung-Lun Chang 5515 Regency Dr. Sugar Land TX 77479	Common	05/19/2026	33630	5629844.00

144: Remarks and Signature

Remarks
Date of Notice	06/17/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	03/18/2026
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 Hung-Lun Chang
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)