Form 144: Raymond James files notice to sell common shares

Raymond James & Associates submitted a Form 144 notice to sell Common shares.

Accepted by SEC EDGAR 03/03/2026 - 04:26 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Raymond James & Associates submitted a Form 144 notice to sell Common shares. The filing lists multiple RSU award lots by grant date and quantity, including awards dated 09/06/2024 (4120 shares) and 06/10/2024 (10232 shares). The excerpt is a seller notice reporting intended dispositions of restricted common stock.

Insights

Securities Compliance Counsel

TL;DR: A routine Form 144 sale notice listing multiple RSU award lots and quantities.

The excerpt lists specific restricted stock units by grant date and share quantities, for example 09/06/2024 (4120) and 06/10/2024 (10232). This format is consistent with a broker filing a proposed resale under Rule 144.

Timing, aggregate proceeds, and buyer counterparty details are not shown in the excerpt; subsequent filings or broker confirmations would provide execution details.

FAQ

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

What does AAOI's Form 144 filing signify?

A Form 144 notice signifies an intended sale of restricted common shares. The excerpt lists multiple RSU awards by grant date and share count, indicating planned dispositions of restricted stock.

Which RSU awards are listed in the AAOI excerpt?

The excerpt lists RSU awards with grant dates and quantities, including 09/06/2024: 4120 and 06/10/2024: 10232, among other dated award lots shown in the table.

Does the Form 144 excerpt state total shares being sold for AAOI?

The provided excerpt lists individual award lots and quantities but does not state an aggregate total for shares being offered for sale in this filing.

Who is the filer named on the AAOI excerpt?

The excerpt identifies Raymond James & Associates at the address shown as the filer handling the sale notice for the listed common shares.

Are execution details or proceeds shown in the AAOI excerpt?

Execution timing, sale proceeds, and purchaser details are not included in the excerpt; the table only lists RSU grant dates and share quantities for the notice.

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

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

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	0001814528
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	Loboa Elizabeth G
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	Director

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	102347	9795482.13	75198817	03/03/2026	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	09/06/2024	RSU Award	Issuer			4120	09/06/2024	N/A
Common	06/10/2024	RSU Award	Issuer			10232	06/10/2024	N/A
Common	03/11/2024	RSU Award	Issuer			10231	03/11/2024	N/A
Common	12/11/2023	RSU Award	Issuer			10231	12/11/2023	N/A
Common	06/05/2023	RSU Award	Issuer			13249	06/05/2023	N/A
Common	03/03/2023	RSU Award	Issuer			13249	03/03/2023	N/A
Common	12/05/2022	RSU Award	Issuer			13249	12/05/2022	N/A
Common	09/06/2022	RSU Award	Issuer			13248	09/06/2022	N/A
Common	06/06/2022	RSU Award	Issuer			3635	06/06/2022	N/A
Common	03/04/2022	RSU Award	Issuer			3634	03/04/2022	N/A
Common	12/06/2021	RSU Award	Issuer			3635	12/06/2021	N/A
Common	09/07/2021	RSU Award	Issuer			3634	09/07/2021	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	03/03/2026
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	Maressia Rooks-Bailey, as duly authorized representative of Raymond James & Associates, Inc., as attorney-in-fact for Elizabeth Grace Loboa Polefka
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)