Company: AAOI
Filing Date: 2025-02-28
Form Type: PRE 14A
Source: 0001104659-25-019126
Chunk: 9

Company: APPLIED OPTOELECTRONICS, INC.
Filing Date: 2025-02-28
Form: PRE 14A
Chunk 9
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 proxies from the beneficial owners and will reimburse them for their reasonable, out-of-pocket costs for forwarding proxy and solicitation material to the beneficial owners of common stock. We may use the services of our officers, directors and employees to solicit proxies, personally or by telephone, without additional compensation.

### Voting Results
We will announce preliminary voting results at the Special Meeting. We will report final results on a Current Report on Form 8-K to be filed with the SEC within 4 business days after the Special Meeting.

### Management Succession Planning
A primary responsibility of the Board is planning for CEO succession and overseeing identification and development of other members of the senior leadership team. The Board and the compensation committee work with the CEO to plan for succession. For the CEO, the succession plan covers identification of internal candidates, and professional and leadership development plans for internal candidates. The Board from time to time reviews the CEO succession plan. The criteria used to assess potential CEO candidates are formulated based on the Company’s business strategies, and include strategic vision, leadership, and operational execution. The Board maintains an emergency succession contingency plan that is reviewed on an annual basis by the Board and compensation committee. The plan identifies roles and responsibilities of individuals who would act if an unforeseen event prevented the CEO from continuing to serve. The Board may review development and succession planning more frequently as it deems necessary or desirable.

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TABLE OF CONTENTS

#### PROPOSAL NO. 1
<div align='center'>**APPROVAL OF THE AMENDED AND RESTATED 2021 EQUITY INCENTIVE PLAN**</div>

The Board, upon the recommendation of the compensation committee, has adopted, and is asking our stockholders to approve, the Company’s Amended and Restated 2021 Plan, which has been amended and restated to increase the number of shares available for issuance under the Amended and Restated 2021 Plan by 2,000,000 shares and to increase certain annual limits on the value of awards that may be granted under the Amended and Restated 2021 Plan. The Amended and Restated 2021 Plan will only become effective if approved by stockholders at the Special Meeting.

### Overview
The Amended and Restated 2021 Plan was initially adopted by the Board and approved by stockholders in 2021 and has been amended by stockholder vote in 2022 and 2023 to increase the number of shares available for issuance under the Amended and Restated