Company: AAOI
Filing Date: 2025-02-28
Form Type: PRE 14A
Source: 0001104659-25-019126
Chunk: 6

Company: APPLIED OPTOELECTRONICS, INC.
Filing Date: 2025-02-28
Form: PRE 14A
Chunk 6
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orum if you submit a valid proxy (or one is submitted on your behalf by your bank, broker or other nominee) or if you vote in person at the meeting. In addition, shares present in person, but not voting; shares for which we receive signed proxies, but for which holders have abstained from voting; and shares represented by proxies for which voting instructions were provided and returned by a bank, broker or other nominee holding shares will each be counted as present for purposes of determining the presence of a quorum. Since both of the proposals at the Special Meeting are 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

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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