Company: AAOI
Filing Date: 2025-02-28
Form Type: PRE 14A
Source: 0001104659-25-019126
Chunk: 108

Company: APPLIED OPTOELECTRONICS, INC.
Filing Date: 2025-02-28
Form: PRE 14A
Chunk 108
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 development and planning goals; and other measures of performance selected by the Administrator. Performance Metrics may be measured on an absolute basis or relative to a pre-established target, across or within Performance Periods, and, with respect to financial metrics, in accordance with or with deviations from either United States Generally Accepted Accounting Principles (“GAAP”) or International Accounting Standards Board (“IASB”) principles.

“ Plan ” means this Amended and Restated 2021 Equity Incentive Plan.

“ Related Company ” means any “parent” or “subsidiary” of the Company, as such terms are defined under Rule 405 of the Securities Act. The Administrator will determine status as a Related Company.

“ Restricted Stock ” means an Award of shares of Common Stock, either without payment of a purchase price (a “ Restricted Stock Bonus Award ”) or with payment of a purchase price (a “ Restricted Stock Purchase Award ”).

“ Restricted Stock Unit ” or “ RSU ” means an Award denominated in units of Common Stock that represents an unfunded, unsecured right to receive the Fair Market Value of one share of Common Stock for each unit subject to the Award in cash, Common Stock or other securities, on the date of vesting or settlement.

“ Rule 16b-3 ” means Rule 16b-3 of the Exchange Act or any successor to Rule 16b-3, as in effect when discretion is being exercised with respect to the Plan.

“ Section 409A ” means Section 409A of the Code.

“ Securities Act ” means the Securities Act of 1933, as amended from time to time.

“ Service ” means there has not been a Termination of Service with respect to a Participant.

“ Stock Appreciation Right ” or “ SAR ” means a right to receive, in cash, shares of Common Stock or other securities, (i) the Fair Market Value per share of Common Stock on the date of exercise minus the grant price per share of Common Stock subject to the SAR, multiplied by (ii) the number of shares of Common Stock with respect to which the SAR is exercised.

“ Substitute Awards ” means Awards granted or shares of Common Stock issued by the Company in substitution or exchange for awards previously granted by an Acquired Entity.

“ Successor Company ” means the surviving company, the successor company or Parent Company, as applicable, in connection with a Company Transaction.

“ Termination of Service ,” unless the Administrator determines otherwise with respect to an Award, means a termination of employment or service relationship with the Company