Shareholder plans Rule 144 sale of 2,533 common shares

AAOI shareholder David Kuo has filed a Rule 144 notice to sell common stock.

Accepted by SEC EDGAR 02/10/2026 - 05:13 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

AAOI shareholder David Kuo has filed a Rule 144 notice to sell common stock. The filing covers 2,533 shares of common stock to be sold through Raymond James & Associates on NASDAQ around 02/10/2026, with an aggregate market value of $126,653.80. The issuer had 68,279,888 shares of common stock outstanding.

The securities to be sold were acquired on 05/13/2025 via a PSU (performance stock unit) transaction from the issuer. In the past three months, David Kuo also sold 12,500 common shares on 12/23/2025 for gross proceeds of $501,881.00 and another 12,500 common shares on 01/28/2026 for $540,671.00.

FAQ

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

What does the AAOI Form 144 filing by David Kuo disclose?

The Form 144 shows that shareholder David Kuo intends to sell 2,533 shares of AAOI common stock under Rule 144. The planned sale has an aggregate market value of $126,653.80 and will be executed through Raymond James & Associates on NASDAQ.

How many AAOI shares is David Kuo planning to sell under Rule 144?

David Kuo plans to sell 2,533 shares of AAOI common stock according to the Form 144. These shares were acquired on 05/13/2025 via a PSU transaction from the issuer and are valued at a total of $126,653.80 for this planned sale.

What recent AAOI stock sales has David Kuo already completed?

Over the past three months, David Kuo sold 12,500 AAOI common shares on 12/23/2025 for $501,881.00 and another 12,500 shares on 01/28/2026 for $540,671.00. These prior transactions are reported alongside the new planned Rule 144 sale.

When and how did David Kuo acquire the AAOI shares being sold?

The 2,533 AAOI shares were acquired on 05/13/2025 through a PSU (performance stock unit) transaction from the issuer. The Form 144 notes the acquisition date, amount of securities acquired, and that the nature of payment is listed as N/A.

On which exchange and through which broker will the AAOI shares be sold?

The Form 144 states the AAOI common shares are to be sold on NASDAQ through Raymond James & Associates, located at 880 Carillon Parkway, St. Petersburg, FL 33716. This identifies the brokerage firm and exchange involved in the planned Rule 144 transaction.

How many AAOI shares are outstanding compared to David Kuo’s planned sale?

The issuer has 68,279,888 shares of common stock outstanding. David Kuo’s planned Rule 144 sale of 2,533 shares represents a small portion of this total, providing context for the relative size of his intended transaction in the overall share base.

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	0001587422
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	Kuo David C
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	2533	126653.80	68279888	02/10/2026	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	05/13/2025	PSU	Issuer			2533	05/13/2025	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
David Kuo 5123 Hawthorne Springs Ln Sugar Land TX 77479	Common	12/23/2025	12500	501881.00
David Kuo 5123 Hawthorne Springs Ln Sugar Land TX 77479	Common	01/28/2026	12500	540671.00

144: Remarks and Signature

Remarks
Date of Notice	02/10/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	05/15/2025
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	Maressia Rooks-Bailey, as duly authorized representative of Raymond James & Associates, Inc., as attorney-in-fact for David C Kuo
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)