Form 144: RSU Sale Notice Lists Multiple Grant Dates

Raymond James & Associates, Inc. submitted a Form 144 notice related to proposed sales of common stock linked to multiple RSU awards dated between 01/23/2019 and 04/22/2022.

Accepted by SEC EDGAR 03/09/2026 - 05:22 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Raymond James & Associates, Inc. submitted a Form 144 notice related to proposed sales of common stock linked to multiple RSU awards dated between 01/23/2019 and 04/22/2022. The filing lists individual award share counts for each grant and identifies Nasdaq as the market.

Insights

Securities Attorney

Form 144 notifies of proposed affiliate sales; listed RSUs indicate planned dispositions tied to historic awards.

Form 144 is a notice required when an affiliate intends to sell restricted or control securities under Rule 144. The listed entries are RSU awards with discrete share counts and grant dates, which the broker lists for compliance.

Timing and exact sale methods are not detailed in the excerpt; subsequent transaction filings or broker reports would show execution details and proceeds.

FAQ

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

What does AAOI's Form 144 filing mean?

A Form 144 is a notice that an affiliate plans to sell restricted or control securities. The entry lists RSU grant dates and share counts, signalling proposed dispositions tied to those awards; exact sale timing, proceeds, and methods are not provided in the excerpt.

Which securities are referenced in the AAOI Form 144?

The filing references common stock issued under multiple RSU awards dated from 01/23/2019 to 04/22/2022

Who is the broker listed on the Form 144 for AAOI?

The broker identified is Raymond James & Associates, Inc. at an address in St. Petersburg, FL. The broker appears as the intermediary in the filing; the excerpt does not state whether sales have occurred or will be executed on a specific market.

Does the AAOI Form 144 state sale proceeds or timing?

No; the excerpt lists grant dates and share amounts for RSU awards but does not state sale proceeds, execution dates, or distribution methods. Further SEC filings or transaction reports would be required to confirm execution and proceeds.

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	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	50000	4852374.05	75198817	03/09/2026	Nasdaq GM

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	01/23/2019	RSU Award	Issuer			969	01/23/2019	N/A
Common	02/01/2019	RSU Award	Issuer			261	02/01/2019	N/A
Common	02/06/2019	RSU Award	Issuer			1049	02/06/2019	N/A
Common	04/23/2019	RSU Award	Issuer			2516	04/23/2019	N/A
Common	05/07/2019	RSU Award	Issuer			1048	03/09/2026	N/A
Common	07/23/2019	RSU Award	Issuer			2516	07/23/2019	N/A
Common	08/06/2019	RSU Award	Issuer			1048	08/06/2019	N/A
Common	10/22/2019	RSU Award	Issuer			2517	10/22/2019	N/A
Common	11/05/2019	RSU Award	Issuer			1048	11/05/2019	N/A
Common	01/22/2020	RSU Award	Issuer			2517	01/22/2020	N/A
Common	02/05/2020	RSU Award	Issuer			1048	02/05/2020	N/A
Common	04/22/2020	RSU Award	Issuer			4701	04/22/2020	N/A
Common	07/22/2020	RSU Award	Issuer			4704	07/22/2020	N/A
Common	10/22/2020	RSU Award	Issuer			4702	10/22/2020	N/A
Common	01/22/2021	RSU Award	Issuer			4702	01/22/2021	N/A
Common	04/22/2021	RSU Award	Issuer			3655	04/22/2021	N/A
Common	07/22/2021	RSU Award	Issuer			3656	07/22/2021	N/A
Common	10/22/2021	RSU Award	Issuer			3656	10/22/2021	N/A
Common	01/24/2022	RSU Award	Issuer			3650	01/24/2022	N/A
Common	04/22/2022	RSU Award	Issuer			37	04/22/2022	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	03/09/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	12/09/2025
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 Yeh Shu-Hua (Joshua)
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)