Company: AAOI
Filing Date: 2025-03-10
Form Type: DEF 14A
Source: 0001104659-25-022149
Chunk: 15

Company: APPLIED OPTOELECTRONICS, INC.
Filing Date: 2025-03-10
Form: DEF 14A
Chunk 15
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 Plan, to the extent such shares cease to be subject to such awards (other than by reason of exercise or settlement of the awards in vested or nonforfeitable shares); as of February 24, 2025, a total of 408 shares were subject to outstanding awards under the 2013 Plan (including the target number of shares that could be issued pursuant to outstanding performance-vesting restricted stock units granted under the 2013 Plan). To the extent shares are issued upon exercise or settlement of outstanding awards under the 2013 Plan, those shares will not become available again for grant under the Amended and Restated 2021 Plan. The following shares will be available again for issuance under the Amended and Restated 2021 Plan: • shares subject to awards granted under the Amended and Restated 2021 Plan that lapse, expire, terminate or are forfeited or canceled prior to the issuance of the underlying shares, that are settled in cash in lieu of shares or that are subsequently forfeited to or repurchased by the Company at their original exercise or purchase price; and • shares subject to an award that is settled in cash or in another manner where some or all of the shares covered by the award are not issued. The following shares will not be available again for issuance under the Amended and Restated 2021 Plan: • shares tendered to or withheld by the Company to pay the exercise or purchase price of an Award or to satisfy any tax withholding obligation in connection with the exercise or settlement of an Award granted under the Amended and Restated 2021 Plan or the 2013 Plan; • vested shares that have been issued under an Award and subsequently forfeited or reacquired by the Company; or • any shares of common stock repurchased by the Company on the open market with the proceeds of the exercise or purchase price of an Award. Adjustments. If any change to our common stock occurs by reason of a stock dividend, stock split, spin-off, combination or exchange of shares, recapitalization, merger, consolidation, distribution to stockholders other than a normal cash dividend, or other change in the Company’s corporate or capital 8 TABLE OF CONTENTS structure that constitutes an equity restructuring transaction under applicable financial accounting rules and that results in the outstanding shares of common stock, or any securities exchanged therefor or received in their place, being exchanged for a different number or kind of securities of the Company or any other company or new, different or additional securities of the Company or any other company