Company: AAOI
Filing Date: 2025-04-28
Form Type: DEF 14A
Source: 0001104659-25-040212
Chunk: 64

Company: APPLIED OPTOELECTRONICS, INC.
Filing Date: 2025-04-28
Form: DEF 14A
Chunk 64
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 |   |         |   |   |   |
| ​ | ​ | $                                                          |  5,000 | ​ | ​ | ​    | ​ |       ​ | $ |  5,000 | ​ | ​ | ​    |   |         |   |   |   |
| ​ | ​ | Annual Equity Retainer                                     |      ​ | ​ | ​ | ​    | $ | 115,000 | ​ |      ​ | ​ | ​ | ​    | $ | 150,000 | ​ | ​ | ​ |

Cash retainers paid to non-employee directors were paid on a quarterly basis and pro-rated for time served, as appropriate. In addition, the number of equity awards granted to our non-employee directors for 2024 under the 2021 Plan was calculated by dividing $150,000 by the closing price of our common stock on the date of grant. All RSU awards granted to our non-employee directors vest in equal monthly amounts over the first twelve months following the date of grant, subject to early termination in accordance with their terms. The grant of RSU awards was made following the election of directors at the 2024 Annual Meeting with a grant date of June 21, 2024. Directors were also reimbursed for out-of-pocket expenses incurred in the course of their service on the Board or its committees. Dr. Lin did not receive any compensation from the Company other than compensation received for serving as an executive officer of the Company.

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TABLE OF CONTENTS PROPOSAL NO. 4
TO CONSIDER AND VOTE ON THE AMENDMENT OF OUR CERTIFICATE OF INCORPORATION TO CLARIFY THE VOTING STANDARD THAT APPLIES TO CERTAIN FUTURE AMENDMENTS Overview On April 14, 2025, our Board approved the amendment of our Certificate of Incorporation to clarify the voting standard that applies to future changes to the number of shares of our common stock authorized for issuance and to reverse stock splits of the issued shares of our common stock (the “Vote Clarification Amendment”). ARTICLE X of our Certificate of Incorporation currently provides, in relevant part, that: Whenever any vote of the holders of capital stock of the Corporation is required to amend or repeal any provision of this Certificate, and in addition to any other vote of holders of capital stock that is required by this Certificate or by law, such amendment or repeal shall require the affirmative vote of the majority of the outstanding shares of capital stock entitled to vote on