Company: AAOI
Filing Date: 2025-03-10
Form Type: DEF 14A
Source: 0001104659-25-022149
Chunk: 5

Company: APPLIED OPTOELECTRONICS, INC.
Filing Date: 2025-03-10
Form: DEF 14A
Chunk 5
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 considered “non-routine” matters and broker non-votes (as discussed below under “Effect of Abstentions and Broker Non-Votes”) can only be counted for quorum purposes if there are “routine” matters, broker non-votes will not be considered present for the purposes of establishing quorum for the Special Meeting. Vote Required to Adopt Proposals Each share of our common stock outstanding as of the close of business on the Record Date is entitled to one vote on each proposal. Proposal No. 1 — Approval of the Amended and Restated 2021 Equity Incentive Plan. Approval of Proposal No. 1 requires the affirmative vote of a majority of the votes properly cast on the proposal at the Special Meeting, where a quorum is present. Abstentions and broker non-votes will have no effect on the outcome of the proposal. Proposal No. 2 — Approval of the Adjournment of the Special Meeting. Approval of Proposal No. 2 requires the affirmative vote of a majority of the votes properly cast on the proposal at the Special Meeting, where a quorum is present. Abstentions and broker non-votes will have no effect on the outcome of the proposal. Effect of Abstentions and Broker Non-Votes With respect to both proposals, shares will not be voted in favor of the matter if they either (1) abstain from voting on a particular matter or (2) are “broker non-votes.” If your shares are held in an account at a bank, brokerage firm or other nominee, that bank, brokerage firm or other nominee will not be permitted to 1 TABLE OF CONTENTS vote your shares of common stock with respect to Proposals No. 1 and 2 unless you provide instructions as to how your shares should be voted. If you do not provide any instructions to your bank, brokerage firm or other nominee, this is a “broker non-vote.” The effect of a broker non-vote is that your shares will not be voted in favor of the proposals, and your shares will not count towards a quorum. If you provide voting instructions with respect to Proposal No. 1, your shares will be voted on Proposal No. 1 in accordance with your voting instructions and will be considered present for purposes of establishing quorum at the Special Meeting. Similarly, if you provide voting instructions with respect to Proposal No. 2, your shares will be voted on Proposal No. 2 in accordance with your voting instructions and will be considered present for purposes of establishing qu