Company: AAOI
Filing Date: 2025-04-18
Form Type: PRE 14A
Source: 0001104659-25-036344
Chunk: 41

Company: APPLIED OPTOELECTRONICS, INC.
Filing Date: 2025-04-18
Form: PRE 14A
Chunk 41
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 applicable grant date based on the average closing price for the prior 30 trading-days. The compensation committee granted these RSUs to the NEOs under the 2021 Amended and Restated Equity Incentive Plan (the “2021 Plan”). The number of shares and grant date fair values for these awards are disclosed in the “2024 Summary Compensation Table” and “2024 Grants of Plan-Based Awards” table below. Earned 2021-2024 Performance-Based Restricted Stock Units We had insufficient shares remaining in the pool under the 2021 Plan to cover the vesting of the PSUs for the 2021-2024 performance period that were earned at the maximum performance level. Accordingly, consistent with the terms of the 2021 Plan, we used the available share capacity under the 2021 Plan to settle the PSUs for the 2021-2024 performance period in shares and settled the remainder in cash. The amounts for the target 2021-2024 PSU opportunity as compared to the amounts earned are as follows:

| ​ | ​ | Named Executive Officer    | ​ | ​ | ​ | Target PSUOpportunity |   |         |   | ​ | ​ | ​ | AchievementPercentage |   |      |   | ​ | ​ | ​ | Actual PSUsEarned |   |         |   | ​ | ​ |
| ​ | ​ | Chih-Hsiang (Thompson) Lin | ​ | ​ | ​ | ​                     | ​ | 126,422 | ​ | ​ | ​ | ​ | ​                     | ​ | 200% | ​ | ​ | ​ | ​ | ​                 | ​ | 252,844 | ​ | ​ | ​ |
| ​ | ​ | Stefan J. Murry            | ​ | ​ | ​ | ​                     | ​ |  44,247 | ​ | ​ | ​ | ​ | ​                     | ​ | 200% | ​ | ​ | ​ | ​ | ​                 | ​ |  88,495 | ​ | ​ | ​ |
| ​ | ​ | Hung-Lun (Fred) Chang      | ​ | ​ | ​ | ​                     | ​ |  40,455 | ​ | ​ | ​ | ​ | ​                     | ​ | 200% | ​ | ​ | ​ | ​ | ​                 | ​ |  80,910 | ​ | ​ | ​ |
| ​ | ​ | Shu-Hua (Joshua) Yeh       | ​