[144] Applied Optoelectronics, Inc. SEC Filing

Rhea-AI Filing Summary

Applied Optoelectronics (AAOI) filing a Form 144 reports a proposed sale of securities by an insider. The filer intends to sell 2,000 common shares$44,694 and approximately 62,353,846 shares outstanding. The securities were acquired as PSUs on 05/14/2025 and the filing lists an approximate sale date of 08/15/2025 on NASDAQ. No other sales by the same person were reported in the past three months. The filer certifies they are not aware of any undisclosed material adverse information.

Insights

Securities Analyst

TL;DR: Small planned insider sale; likely immaterial to company valuation given low share count and market value.

The notice documents a planned sale of 2,000 common shares valued at $44,694 executed via a broker and sourced from PSUs granted on 05/14/2025. Relative to the ~62.35 million shares outstanding, this represents a de minimis transfer and typically would not alter supply/demand or signal material insider liquidity pressure. The absence of other sales in the past three months and the stated representation about lack of undisclosed material adverse information support a neutral interpretation for investors.

Corporate Governance Expert

TL;DR: Routine compliance filing; shows disclosure of insider compensation monetization via Rule 144.

The Form 144 properly discloses the proposed broker, quantity, acquisition type (PSU), and intended sale date, meeting Rule 144 notification requirements. The filing includes the required certification about material non-public information. This appears to be a standard reporting step when an insider monetizes recently vested equity, with no governance red flags disclosed within the form itself.

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	Raymond James & Associates 880 Carillon Parkway St. Petersburg FL 33716	2000	44694.00	62353846	08/15/2025	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	05/14/2025	PSU	Issuer			2000	05/14/2025	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

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

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 filed for 2,000 shares mean?

The filer intends to sell 2,000 common shares through Raymond James with an aggregate market value of $44,694; it is a Rule 144 notice of proposed sale.

When were the shares being sold acquired according to the Form 144?

The securities were acquired as PSUs on 05/14/2025 and the filing lists the acquisition amount as 2,000 shares.

What is the expected sale date and exchange for the AAOI shares?

The filing lists an approximate sale date of 08/15/2025 and names NASDAQ as the exchange.

How large is the proposed sale relative to AAOI's outstanding shares?

The filing shows 62,353,846 shares outstanding; the 2,000-share sale is a very small fraction of that total.

Does the Form 144 report other recent sales by the same person?

The filing states "Nothing to Report" for securities sold by the person during the past three months.