---
schema_version: "secwatch.filing_event.v1"
accession: "0001683168-26-004596"
form_type: "8-K"
ticker: "AAOI"
cik: "0001158114"
company_name: "APPLIED OPTOELECTRONICS, INC."
filed_at: "2026-06-05T21:25:00+00:00"
generated_at: "2026-06-05T21:27:18.529048+00:00"
event_type: "other_material"
sentiment: "neutral"
materiality_score: 0.6
calibrated_materiality_score: 0.6
confidence: "high"
source: SEC EDGAR
---

# AAOI shareholders approve 2026 equity plan authorizing up to 5.8M shares

## Summary
- Plan approved at June 4 annual meeting; replaces 2021 and 2013 equity plans.
- Share reserve capped at 5,757,129 shares, including 2.5M newly authorized.
- Quorum 64.18% (51.4M of 80.0M shares); directors Che-Wei Lin and Robert Flanagan elected.
- Ratification of PwC as auditor for FY 2026 passed with 51.3M for.
- Advisory say-on-pay approved with 38.0M for, 0.7M against.

## SEC filing metadata
- accession: 0001683168-26-004596
- form_type: 8-K
- ticker: AAOI
- cik: 0001158114
- company_name: APPLIED OPTOELECTRONICS, INC.
- filed_at: 2026-06-05T21:25:00+00:00
- event_type: other_material
- sentiment: neutral
- materiality_score: 0.6
- calibrated_materiality_score: 0.6
- confidence: high
- sec_items: 5.02, 5.07, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1158114/000168316826004596/0001683168-26-004596-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1158114/000168316826004596/aaoi_8k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001683168-26-004596
- JSON: https://secwatch.observer/filing/0001683168-26-004596.json
- Plain text: https://secwatch.observer/filing/0001683168-26-004596.txt

## Key facts
- Shareholder Votes
  APPLIED OPTOELECTRONICS, INC. shareholders approved To ratify the appointment of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2026 at the 2026-12-31 meeting.
  - Proposal: auditor ratification
  - Outcome: passed
  - Meeting: 2026-12-31
  source text: Proposal No. 2: To ratify the appointment of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2026. For Against Abstain 51,297,379 38,044 39,660
  evidence_url: https://www.sec.gov/Archives/edgar/data/1158114/000168316826004596/0001683168-26-004596-index.htm
- Shareholder Votes
  APPLIED OPTOELECTRONICS, INC. shareholders approved To approve the adjournment of the Annual Meeting to a later date, if necessary or appropriate.
  - Outcome: passed
  source text: Proposal No. 6: To approve the adjournment of the Annual Meeting to a later date, if necessary or appropriate. For Against Abstain 47,987,329 3,100,990 286,764
  evidence_url: https://www.sec.gov/Archives/edgar/data/1158114/000168316826004596/0001683168-26-004596-index.htm
- Shareholder Votes
  APPLIED OPTOELECTRONICS, INC. shareholders approved To approve the 2026 Equity Incentive Plan.
  - Proposal: equity plan
  - Outcome: passed
  source text: Proposal No. 5: To approve the 2026 Equity Incentive Plan. For Against Abstain Broker Non-Votes 34,862,167 3,780,336 252,605 12,479,975
  evidence_url: https://www.sec.gov/Archives/edgar/data/1158114/000168316826004596/0001683168-26-004596-index.htm
- Shareholder Votes
  APPLIED OPTOELECTRONICS, INC. shareholders approved Election of two Class I Directors.
  - Proposal: director election
  - Outcome: passed
  source text: Proposal No. 1: Election of two Class I Directors. For Withheld Broker Non-Votes Che-Wei Lin 35,667,619 3,227,489 12,479,975 Robert (Bob) Flanagan 37,970,404 924,704 12,479,975
  evidence_url: https://www.sec.gov/Archives/edgar/data/1158114/000168316826004596/0001683168-26-004596-index.htm
- Shareholder Votes
  APPLIED OPTOELECTRONICS, INC. shareholders approved To approve the amendment of the Company’s Amended and Restated Certificate of Incorporation, as amended, to clarify the voting standard that applies to certain future amendments.
  - Proposal: charter amendment
  - Outcome: passed
  source text: Proposal No. 4: To approve the amendment of the Company’s Amended and Restated Certificate of Incorporation, as amended, to clarify the voting standard that applies to certain future amendments. For Against Abstain 38,486,404 305,242 103,462
  evidence_url: https://www.sec.gov/Archives/edgar/data/1158114/000168316826004596/0001683168-26-004596-index.htm
- Shareholder Votes
  APPLIED OPTOELECTRONICS, INC. shareholders approved To approve on an advisory basis, the compensation of the Company’s named executive officers, or the “say-on-pay” vote.
  - Proposal: say on pay
  - Outcome: passed
  source text: Proposal No. 3: To approve on an advisory basis, the compensation of the Company’s named executive officers, or the “say-on-pay” vote. For Against Abstain Broker Non-Votes 38,001,385 672,239 221,484 12,479,975
  evidence_url: https://www.sec.gov/Archives/edgar/data/1158114/000168316826004596/0001683168-26-004596-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.