Company: AAOI
Filing Date: 2025-02-28
Form Type: PRE 14A
Source: 0001104659-25-019126
Chunk: 4

Company: APPLIED OPTOELECTRONICS, INC.
Filing Date: 2025-02-28
Form: PRE 14A
Chunk 4
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 ​ | ​ | ​ |  14 | ​ | ​ |
| ​ | Compensation Committee Report                                                              | ​ | ​ | ​ | ​ |  14 | ​ | ​ |
| ​ | Compensation of Named Executive Officers and Directors                                     | ​ | ​ | ​ | ​ |  15 | ​ | ​ |
| ​ | Equity Compensation Plan Information                                                       | ​ | ​ | ​ | ​ |  42 | ​ | ​ |
| ​ | Security Ownership of Certain Beneficial Owners and Management                             | ​ | ​ | ​ | ​ |  46 | ​ | ​ |
| ​ | Stockholder Proposals or Nominations to be Presented at Next Annual Meeting                | ​ | ​ | ​ | ​ |  48 | ​ | ​ |
| ​ | Transaction of Other Business                                                              | ​ | ​ | ​ | ​ |  48 | ​ | ​ |
| ​ | Householding                                                                               | ​ | ​ | ​ | ​ |  48 | ​ | ​ |
| ​ | Appendix A – Applied Optoelectronics, Inc. Amended And Restated 2021 Equity Incentive Plan | ​ | ​ | ​ | ​ | A-1 | ​ | ​ |
| ​ | Appendix B – Non-GAAP Financial Measures – Non-GAAP EBITDA                                 | ​ | ​ | ​ | ​ | B-1 | ​ | ​ |

TABLE OF CONTENTS

### CAUTIONARY NOTE REGARDING FORWARD-LOOKING STATEMENTS
This Proxy Statement includes forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended and Section 21E of the Securities Exchange Act of 1934, as amended (the “Exchange Act”). All statements other than statements of historical or current facts, including statements regarding our goals, initiatives, commitments, business strategy and plans, executive compensation program, and anticipated share reserve, are forward-looking statements. In some cases, you can identify forward-looking statement by terms such as “aim,” “anticipate,” “believe,” “continue,” “could,” “estimate,” “expect,” “goal,” “intend,” “is likely,” “may,” “new,” “objectives,” “optimistic,” “permit,” “plan,” “potential,” “predicts,” “project,” “seek,” “should,” “strategy,” “target,” “think,” “will,” “would” and similar expressions intended to identify forward