Company: AAOI
Filing Date: 2025-02-28
Form Type: PRE 14A
Source: 0001104659-25-019126
Chunk: 16

Company: APPLIED OPTOELECTRONICS, INC.
Filing Date: 2025-02-28
Form: PRE 14A
Chunk 16
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 any other committee or officers to whom authority to administer the Amended and Restated 2021 Plan is delegated.

#### Eligibility.
Awards may be granted under the Amended and Restated 2021 Plan to our employees, officers, directors and independent contractors providing services to the Company or our affiliates. As of January 31, 2025, we had approximately 2,791 employees, including five executive officers, and six non-employee directors, all of whom are eligible to participate in the Amended and Restated 2021 Plan. However, consistent with our prior practice, we do not intend to make grants to all such individuals.

#### Share Reserve.
The Amended and Restated 2021 Plan authorizes the issuance of up to 8,147,762 shares of common stock. This includes up to 1,613,762 shares subject to outstanding awards under the Company’s 2013 Equity Incentive Plan (the “2013 Plan”) that was replaced by the Amended and Restated 2021 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