Company: AAOI
Filing Date: 2025-04-18
Form Type: PRE 14A
Source: 0001104659-25-036344
Chunk: 5

Company: APPLIED OPTOELECTRONICS, INC.
Filing Date: 2025-04-18
Form: PRE 14A
Chunk 5
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 is present. Abstentions will have no effect on the outcome of the proposal, and there should be no broker non-votes on the proposal because brokers have discretion to vote on this proposal, as described in more detail below. Proposal No. 3 — Advisory Vote on the Compensation of Our Named Executive Officers. Approval of Proposal No. 3 requires the affirmative vote of a majority of the votes properly cast on the proposal at the 1 TABLE OF CONTENTS Annual Meeting, where a quorum is present. However, the say-on-pay vote is only advisory in nature and has no binding effect on us or the Board. Nevertheless, the Board will consider the result of the say-on-pay vote when making future compensation decisions regarding our named executive officers. Abstentions and broker non-votes will have no effect on the outcome of the proposal. Proposal No. 4 — Approval of Amendment of our Certificate of Incorporation to Clarify the Voting Standard that Applies to Certain Future Amendments. Approval of Proposal No. 4 requires the affirmative vote of not less than 66 2/3% of the outstanding shares of capital stock entitled to vote thereon . Abstentions and broker non-votes will have the same effect as votes AGAINST Proposal No. 4. Proposal No. 5 — Approval of Amendment of our Certificate of Incorporation to Increase the Number of Authorized Shares of Capital Stock and Common Stock. If Proposal No. 4 is approved, the affirmative vote of a majority of the votes cast affirmatively or negatively shall be required to approve Proposal No. 5, in which case abstentions and broker non-votes will have no effect on the approval of Proposal No. 5. If Proposal No. 4 is not approved, the affirmative vote of the holders of a majority in voting power of the outstanding shares of capital stock of the Company entitled to vote thereon shall be required to approve Proposal No. 5, in which case abstentions and broker non-votes will have the same effect as votes AGAINST Proposal No. 5. Broker Non-Votes If your shares are held in an account at a bank, broker, or other nominee, that bank, broker, or other nominee may vote your shares on Proposal No. 2 as a “routine” matter, but will not be permitted to vote your shares of common stock with respect to Proposals No. 1, 3, 4, and 5 unless you provide instructions as to how your shares should be voted (where no instructions are provided