Company: AAOI
Filing Date: 2025-04-18
Form Type: PRE 14A
Source: 0001104659-25-036344
Chunk: 71

Company: APPLIED OPTOELECTRONICS, INC.
Filing Date: 2025-04-18
Form: PRE 14A
Chunk 71
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 required to approve this 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 this Proposal No. 5, in which case abstentions and broker non-votes will have the same effect as votes AGAINST Proposal No. 5. THE BOARD OF DIRECTORS UNANIMOUSLY RECOMMENDS THAT YOU VOTE “FOR” THE AMENDMENT TO OUR CERTIFICATE OF INCORPORATION TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF CAPITAL STOCK AND COMMON STOCK 50

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