Company: AAOI
Filing Date: 2025-03-10
Form Type: DEF 14A
Source: 0001104659-25-022149
Chunk: 61

Company: APPLIED OPTOELECTRONICS, INC.
Filing Date: 2025-03-10
Form: DEF 14A
Chunk 61
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 strategic plans, development programs, corporate goals and operating plans. Our audit committee has the responsibility to consider and discuss our major exposures to financial risk and the steps our management takes to monitor and control these exposures, including guidelines, policies and processes. The audit committee also monitors

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TABLE OF CONTENTS our compliance with various legal and regulatory requirements, monitors our whistleblower system, and oversees the performance of our internal audit function. Our nominating and corporate governance committee monitors the effectiveness of our corporate governance guidelines and policies. Our compensation committee assesses and monitors whether any of our compensation policies and programs has the potential to encourage excessive risk-taking. In addition, the Board meets with certain members of our executive team, including the heads of our different organizational functions, who discuss the risks and exposures involved in their respective areas of responsibility as well as any developments that could impact our risk profile or other aspects of our business. The Board considers the Company’s risk profile and other aspects of our business in assessing the leadership structure of the Board from time to time. 42

TABLE OF CONTENTS

EQUITY COMPENSATION PLAN INFORMATION The following table sets forth information regarding outstanding options and shares reserved for future issuance under our equity compensation plans as of December 31, 2024:

| Plan Category                                      | ​ | ​ | Number of shares to beissued upon exercise ofoutstanding options,warrants and rights |   |              |   | ​ | ​ | Weighted-averageexercise price ofoutstanding options,warrants and rights |   |      |   | ​ | ​ | Number of sharesremaining available forfuture issuance underequity compensation plans |   |            |   | ​ |
|:---------------------------------------------------|:--|:--|:-------------------------------------------------------------------------------------|:--|:-------------|:--|:--|:--|:-------------------------------------------------------------------------|:--|:-----|:--|:--|:--|:--------------------------------------------------------------------------------------|:--|:-----------|:--|:--|
| Equity compensation plans approved by stockholders | ​ | ​ | ​                                                                                    | ​ | 3,678,505(1) | ​ | ​ | ​ | ​                                                                        | $ | 0(2) | ​ | ​ | ​ | ​                                                                                     | ​ | 130,129(3) | ​ | ​ |

(1) Includes 3,678,505 shares subject to outstanding RSU awards as of December 31, 2024, including the number of shares issuable at target levels of performance for PSUs