AAOI (NASDAQ: AAOI) lists RSU vesting sales on multiple dates

Rhea-AI Filing Summary

AAOI reported proposed sales of common stock tied to restricted stock unit vesting on multiple dates. The excerpt lists 09/11/2023 (538 shares), 12/11/2023 (10,231 shares) and 03/11/2024 (10,231 shares) with the seller shown as Issuer.

Insights

Securities Compliance Analyst

Form 144 lists planned sales linked to RSU vesting on three dates; issuer is identified as seller.

The filing excerpt enumerates specific share counts tied to restricted stock unit vesting on 09/11/2023, 12/11/2023, and 03/11/2024. Each row shows the seller role as Issuer.

Cash‑flow treatment and whether sales occurred are not shown in the excerpt; subsequent filings or transaction reports would confirm executed dispositions if any.

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	Ameriprise 901 Third Avenue South Minneapolis MN 55402	21000	2058338.25	75198817	03/04/2026	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	09/11/2023	Restricted Stock Unit Vesting	Issuer			538	09/11/2023	N/A
Common	12/11/2023	Restricted Stock Unit Vesting	Issuer			10231	12/11/2023	N/A
Common	03/11/2024	Restricted Stock Unit Vesting	Issuer			10231	03/11/2024	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

Nothing to Report

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's Form 144 entry show about planned sales?

It lists proposed sales of common stock tied to RSU vesting on three dates: 09/11/2023 (538 shares), 12/11/2023 (10,231 shares), and 03/11/2024 (10,231 shares). The seller is identified as the Issuer.

Who is listed as the seller in the AAOI Form 144 excerpt?

The excerpt identifies the seller role as the Issuer for each listed vesting event. This indicates the shares are associated with restricted stock unit vesting and are recorded as to-be-sold by the issuer in this filing excerpt.

Do these Form 144 entries confirm the shares were sold?

No; the entries list securities to be sold tied to RSU vesting dates but do not confirm executed sales. The excerpt contains planned sale rows; executed dispositions would appear in subsequent trade reports or additional filings.

Where can investors verify if the listed RSU shares were actually sold?

Investors should check subsequent SEC filings and trade reports for executed transactions. The provided excerpt does not include closed sales or proceeds; follow-up Forms or broker reports would show whether the planned sales occurred.