Raymond James lists 36,400 AAOI shares for resale

Raymond James & Associates filed a Form 144 reporting a proposed sale of Common stock.

Accepted by SEC EDGAR 03/16/2026 - 04:18 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Raymond James & Associates filed a Form 144 reporting a proposed sale of Common stock. The filing lists 36,400 shares, an associated figure of $3,648,918.00, and a referenced total of 75,198,817 shares with an entry date of 03/16/2026. The securities are listed on Nasdaq.

Insights

Equity Capital Markets Analyst

Form 144 reports a dealer-managed proposed resale of $3.65M in common stock.

The filing shows a selling broker/dealer, Raymond James & Associates, with an entry listing 36,400 shares and $3,648,918.00. The record includes a reference total of 75,198,817 shares and an entry date of 03/16/2026.

Cash‑flow treatment and the specific selling holder are not detailed in the excerpt; subsequent filings or broker confirmations would state execution details and timing.

FAQ

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

What does AAOI's Form 144 filed by Raymond James & Associates show?

It shows a proposed sale of Common stock by Raymond James & Associates: 36,400 shares and an associated amount of $3,648,918.00, with a referenced figure of 75,198,817 and date 03/16/2026.

Does the excerpt state where AAOI's shares will trade?

Yes. The excerpt lists the securities as trading on Nasdaq. The Form 144 excerpt does not list specific execution mechanics or timing for any trades.

Is the selling party identified in the Form 144 excerpt?

The excerpt lists Raymond James & Associates, with an address shown. The filing snippet does not explicitly name the beneficial owner selling the shares in this excerpt.

What amounts are shown on the Form 144 excerpt for AAOI?

The excerpt shows 36,400 shares, an associated monetary figure of $3,648,918.00, and a referenced total of 75,198,817, tied to the entry date 03/16/2026.

Does the filing excerpt state whether proceeds go to the issuer?

The excerpt does not state proceeds treatment. The Form 144 excerpt lists proposed resale details but does not specify whether proceeds would go to the issuer or selling holders.

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	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

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	36400	3648918.00	75198817	03/16/2026	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	01/08/2024	ISO Exercise	Issuer			178	01/08/2024	Cash
Common	01/23/2024	RSU Vesting	Issuer			3567	01/23/2024	N/A
Common	04/22/2024	RSU Vesting	Issuer			4016	04/22/2024	N/A
Common	06/26/2024	RSU Vesting	Issuer			24841	06/26/2024	N/A
Common	07/22/2024	RSU Vesting	Issuer			3798	07/22/2024	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	03/16/2026
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 Hung-Lun Chang
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)