AAOI Form 144: 33,630 Shares Resale Noted

AAOI filed a Form 144 notice reporting an intended resale of 33,630 common shares.

Rhea-AI Filing Summary

AAOI filed a Form 144 notice reporting an intended resale of 33,630 common shares.

The filing names Citigroup Global Markets as the broker and lists a previously completed sale by Chang Hung-Lun of 36,400 common shares on 03/16/2026 for $3,648,918.00. Timing for the 33,630-share resale is shown as 05/19/2026.

Insights

Securities Compliance Counsel

Form 144 discloses an intended resale and a recent insider sale; broker listed.

The notice records an intended resale of 33,630 common shares with Citigroup Global Markets identified as the broker and an effective/resale date of 05/19/2026. The form also documents a prior sale by Chang Hung-Lun of 36,400 shares on 03/16/2026.

Regulatory readers should note this is a notice of resale under Rule 144; cash‑flow treatment and any holding‑period or volume limitations are not detailed in the excerpt. Subsequent filings or broker records would show execution details.

Key Figures

Intended resale: 33,630 shares Completed sale: 36,400 shares Proceeds reported: $3,648,918.00 +2 more

5 metrics

Intended resale 33,630 shares listed with broker on <date>05/19/2026</date>

Completed sale 36,400 shares sold by Chang Hung-Lun on <date>03/16/2026</date>

Proceeds reported <money>$3,648,918.00</money> proceeds for the 36,400-share sale on <date>03/16/2026</date>

Broker Citigroup Global Markets listed as broker at 390 Greenwich St, New York, NY

Resale date shown 05/19/2026 date associated with the 33,630-share resale

Key Terms

Form 144, Rule 144 resale, broker

3 terms

Form 144 regulatory

"Filer Information | 144: Filer Information"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Rule 144 resale regulatory

"144: Securities To Be Sold | COMMON SHARES"

broker financial

"CITIGROUP GLOBAL MARKETS 390 GREENWICH ST NEW YORK NY 10013"

A broker is a licensed professional or firm that helps investors buy and sell financial assets by executing trades on their behalf, acting like a marketplace agent or matchmaker between buyers and sellers. Brokers matter to investors because they provide access to markets, handle order execution and paperwork, and can offer research or advice—services that affect trade speed, costs, and the quality of investment decisions.

FAQ

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

What does AAOI's Form 144 report about share sales?

AAOI's Form 144 reports an intended resale of 33,630 common shares with a broker listed as Citigroup Global Markets. The filing also records a prior sale of 36,400 shares on 03/16/2026 for $3,648,918.00.

Who sold shares according to the AAOI Form 144?

The filing identifies Chang Hung-Lun as a selling person who sold 36,400 common shares on 03/16/2026. The intended resale of 33,630 shares is shown with Citigroup Global Markets as the broker.

What broker is handling the AAOI resale in the Form 144?

The Form 144 names Citigroup Global Markets at 390 Greenwich St, New York, NY, as the broker for the resale of 33,630 common shares, with the date shown as 05/19/2026.

How much proceeds were reported for the prior sale in AAOI's filing?

The prior sale by Chang Hung-Lun is shown with proceeds of $3,648,918.00 for 36,400 common shares on 03/16/2026. The Form 144 excerpt ties the monetary amount directly to that sale.

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

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Accepted by SEC EDGAR 05/19/2026 - 07:07 AM EDT Learn about SEC filing dates

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	0001587462
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	Chang Hung-Lun (Fred)
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
Relationship to Issuer	SENIOR VP NORTH AMERICA GENERAL MANAGER

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 STOCK	CITIGROUP GLOBAL MARKETS 390 GREENWICH ST NEW YORK NY 10013	33630	5826733.80	80242767	05/19/2026	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 SHARES	05/19/2026	PSU	ISSUER			33630	05/19/2026	NA

* 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
Chang Hung-Lun (Fred) 13139 JESS PIRTLE BLVD SUGARLAND TX 77478	COMMON SHARES	03/16/2026	36400	3648918.00

144: Remarks and Signature

Remarks	SECTION 3 D BASED ON MAY 18 26 CLOSING PRICE 173.26
Date of Notice	05/19/2026
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	CONFORMED SIGNATURE ON FILE
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)