Applied Optoelectronics insider to sell 12,000

Applied Optoelectronics insider David Kuo has filed a Form 144 to sell 12,000 shares of common stock.

Accepted by SEC EDGAR 01/28/2026 - 03:53 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Applied Optoelectronics insider David Kuo has filed a Form 144 to sell 12,000 shares of common stock. The planned sale is through Raymond James & Associates, with an aggregate market value of 540,670.80, and is expected around 01/28/2026 on the NASDAQ market.

The filing notes that 68,279,888 shares of common stock were outstanding. The 12,000 shares to be sold were acquired via restricted stock units on several 2025 grant dates, including 861 shares on 01/22/2025 and 6,482 shares on 04/22/2025. In the past three months, Kuo also sold 12,500 common shares on 12/23/2025 for gross proceeds of 501,881.00.

FAQ

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

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

The Form 144 shows David Kuo intends to sell 12,000 Applied Optoelectronics common shares. The planned sale totals an aggregate market value of 540,670.80 and is expected around 01/28/2026 on NASDAQ through Raymond James & Associates.

How many Applied Optoelectronics (AAOI) shares does the insider plan to sell?

The insider plans to sell 12,000 shares of Applied Optoelectronics common stock. These shares were acquired through several restricted stock unit grants during 2025 and are listed in the filing as the total number of shares or units to be sold.

What is the value of the AAOI shares covered by this Form 144?

The 12,000 Applied Optoelectronics shares in this Form 144 have an aggregate market value of 540,670.80. This figure reflects the filer’s estimate of the total market value of the planned sale as of the time the notice was prepared.

When is the AAOI insider sale expected to occur and on which exchange?

The filing lists an approximate sale date of 01/28/2026 for the 12,000 shares. The shares are expected to be sold on the NASDAQ market, with Raymond James & Associates named as the broker handling the transaction.

How were the AAOI shares in this Form 144 acquired by the insider?

The shares were acquired through restricted stock unit (RSU) awards from the issuer during 2025. The filing lists multiple RSU acquisitions, including 861 shares on 01/22/2025 and 6,482 shares on 04/22/2025, with the issuer shown as the source.

Has the AAOI insider sold any shares in the past three months?

Yes. The filing reports that David Kuo sold 12,500 Applied Optoelectronics common shares on 12/23/2025. Those shares generated gross proceeds of 501,881.00, and this prior sale is disclosed alongside the new planned sale.

How many Applied Optoelectronics shares were outstanding at the time of the notice?

The Form 144 states that 68,279,888 shares of Applied Optoelectronics common stock were outstanding. This figure provides context for the size of the 12,000-share planned sale relative to the company’s total outstanding common shares.

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	12000	540670.80	68279888	01/28/2026	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	01/22/2025	RSU	Issuer			861	01/22/2025	N/A
Common	04/22/2025	RSU	Issuer			6482	04/22/2025	N/A
Common	05/01/2025	RSU	Issuer			832	05/01/2025	N/A
Common	05/13/2025	RSU	Issuer			3825	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 5132 Hawthorne Springs Ln Sugar Land TX 77479	Common	12/23/2025	12500	501881.00

144: Remarks and Signature

Remarks
Date of Notice	01/28/2026
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)