Company: AAOI
Filing Date: 2025-02-28
Form Type: PRE 14A
Source: 0001104659-25-019126
Chunk: 63

Company: APPLIED OPTOELECTRONICS, INC.
Filing Date: 2025-02-28
Form: PRE 14A
Chunk 63
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 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.

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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. (2) The weighted-average exercise price does not reflect the shares that will be issued in connection with the settlement of RSUs since RSUs have no exercise price. (3) Represents shares of common stock available for issuance in connection with future awards under our 2021 Plan. 2023 Equity Inducement Plan On July 28, 2023, the Board adopted the Applied Optoelectronics, Inc. 2023 Equity Inducement Plan (the “Inducement Plan”), as