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APPLIED OPTOELECTRONICS INC. 2023-2024 Proxy Voting Records

Compiled from SEC Form N-PX filings and APPLIED OPTOELECTRONICS INC.’s Form 8-K, filed June 7, 2024 (Item 5.07 on EDGAR). Page generated October 14, 2026.

10Reported items
100Asset managers
801Fund votes
June 6, 2024Main meeting date

Results at a glance

Meeting of June 6, 2024: 6 items on APPLIED OPTOELECTRONICS INC.’s Form 8-K, filed June 7, 2024: 6 without a stated outcome.

Meeting of September 7, 2023: 2 items on APPLIED OPTOELECTRONICS INC.’s Form 8-K, filed September 7, 2023: 2 without a stated outcome.

Material dissent

Elect Director: William H. Yeh 75% of votes cast Outcome not stated Director under 80%
5. To approve the Applied Optoelectronics, Inc. 2021 Equity Incentive Plan, as amended, to increase the number of shares of common stock… 39% of votes cast Outcome not stated Under 80%

Material dissent: a director nominee under 80% of the votes cast, say-on-pay under 70%, any other item the board put forward under 80%, or a shareholder proposal with more than 50%, on the company’s own Form 8-K tally. How this is decided

Proxy season: 2023-2024 2024-2025 2025-2026

Explore APPLIED OPTOELECTRONICS INC. in the interactive database Compare manager voting policies

Official 2023-2024 meeting results reported by APPLIED OPTOELECTRONICS INC.

These tallies are APPLIED OPTOELECTRONICS INC.’s own, as disclosed to the U.S. Securities and Exchange Commission on Form 8-K, filed June 7, 2024 (Item 5.07, “Submission of Matters to a Vote of Security Holders”). They cover every share voted at the meeting, not just the funds that file Form N-PX. APPLIED OPTOELECTRONICS INC. reported 2 meetings in this season; each is tabulated separately below, with its own filing.

APPLIED OPTOELECTRONICS INC. — official shareholder meeting results, meeting held June 6, 2024 (Form 8-K, filed June 7, 2024)
Ballot item	For	Against	Abstain	Withheld	Broker non-votes	Support (of votes cast)	Reported outcome	Voting standard
Elect Director: William H. Yeh	12,883,866	--	--	4,397,128	8,502,463	75%	Not verified	—
Elect Director: Cynthia (Cindy) DeLaney	16,386,831	--	--	894,163	8,502,463	95%	Not verified	—
2. To ratify the appointment of Grant Thornton LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2024	25,518,024	159,790	105,643	--	--	99.3%	Not verified	—
3. To approve on an advisory basis, the compensation of the Company's named executive officers	15,242,588	1,661,631	376,775	--	8,502,463	90%	Not verified	—
5. To approve the Applied Optoelectronics, Inc. 2021 Equity Incentive Plan, as amended, to increase the number of shares of common stock reserved for issuance under the plan by 2,000,000 shares and increase certain annual limits on the value of awards	6,739,828	10,340,097	201,069	--	8,502,463	39%	Not verified	—
6. To approve a portion of the award of performance-vesting restricted stock units (PSUs) granted to our Chief Executive Officer in June 2023 with respect to 355,871 shares at target level performance, which portion exceeded the prior annual limit on the value	15,067,633	1,775,241	438,120	--	8,502,463	89%	Not verified	—

Source: APPLIED OPTOELECTRONICS INC., Form 8-K, filed with the SEC on June 7, 2024 — read the filing on EDGAR.

APPLIED OPTOELECTRONICS INC. — official shareholder meeting results, meeting held September 7, 2023 (Form 8-K, filed September 7, 2023)
Ballot item	For	Against	Abstain	Withheld	Broker non-votes	Support (of votes cast)	Reported outcome	Voting standard
1. To approve the amendment to the Company's Amended and Restated Certificate of Incorporation to increase the authorized number of shares of common stock from 45,000,000 shares to 80,000,000 shares	17,563,297	2,508,496	126,563	--	--	88%	Not verified	—
2. To adjourn the meeting if sufficient shares are not represented at the meeting "FOR" proposal 1	12,988,480	1,418,866	165,727	--	5,625,283	90%	Not verified	—

Source: APPLIED OPTOELECTRONICS INC., Form 8-K, filed with the SEC on September 7, 2023 — read the filing on EDGAR.

How asset managers voted at the APPLIED OPTOELECTRONICS INC. 2023-2024 meetings

Each item below shows how the 100 asset managers that disclosed a APPLIED OPTOELECTRONICS INC. vote in their SEC Form N-PX filings actually voted. Share totals are the shares those managers' funds voted, summed across every fund they report. These are reported items, not a count of the ballot: fund filings describe one ballot item in different words. Two descriptions are shown as one item only on evidence — the same text (or one cut short of the other), the same director nominee, or a match to the same row of APPLIED OPTOELECTRONICS INC.’s own Form 8-K tally — never because they merely read alike. A description that could not be joined that way is listed on its own, so one ballot item can appear more than once.

1. Elect Director: Cynthia (Cindy) DeLaney

Outcome not verifiedDIRECTOR ELECTIONSReported outcome: Not verified

Meeting held June 6, 2024.

Combines 4 wordings of this item as funds reported it.

95% Majority: yes · of votes cast

FOR 95%

FOR: 16,386,831WITHHELD: 894,163

Details: description as filed, official tally, votes by 33 asset managers

Description as filed by funds: Class II Directors for Election: Cynthia (Cindy) DeLaney

APPLIED OPTOELECTRONICS INC.’s own tally for this item (“Elect Director: Cynthia (Cindy) DeLaney”): 16,386,831 for, 894,163 withheld, per its Form 8-K filed June 7, 2024 (Item 5.07). FOR was more than half of the votes cast. Whether the item passed is for the filing to say; its statement has not been read for this item.

Reported outcome: not verified — the filing’s own statement of the outcome could not be identified for this item.
Support: 95% of votes cast — FOR ÷ (FOR + WITHHELD); abstentions and broker non-votes are excluded.

The 33 asset managers below reported 5,429,377 for, 85,336 withheld, 219,396 abstained.

FOR

FOR: 5,429,377ABSTAIN: 219,396WITHHOLD: 85,336

Largest asset managers voting on “Class II Directors for Election: Cynthia (Cindy) DeLaney” at APPLIED OPTOELECTRONICS INC., 2023-2024
Asset manager	For	Abstain	Withheld	Vote
Vanguard	1,362,958	0	0	For
Royce	909,435	0	0	For
OBERWEIS FUNDS	849,615	0	0	For
Columbia Threadneedle	832,863	0	0	For
DRIEHAUS MUTUAL FUNDS	586,254	0	0	For
FINANCIAL INVESTORS TRUST	0	219,396	0	Abstain
American Century	186,610	0	0	For
Fidelity	170,155	0	0	For
RBB FUND, INC.	119,806	0	0	For
Dimensional	92,897	0	0	For
TRUST FOR PROFESSIONAL MANAGERS	85,794	0	0	For
Principal	0	0	83,550	Withhold
BlackRock	58,955	0	0	For
Voya	39,220	0	0	For
Brinker Capital Destinations Trust	27,771	0	0	For
Charles Schwab	18,315	0	0	For
State Street	16,267	0	1	For
Equitable	14,570	0	0	For
Prudential/PGIM	9,580	0	1,785	Mixed
ADVISORS' INNER CIRCLE FUND	10,100	0	0	For
Northern Trust	8,255	0	0	For
Manager Directed Portfolios	7,599	0	0	For
Victory Capital	4,694	0	0	For
Monteagle Funds	3,950	0	0	For
Lincoln Financial	3,768	0	0	For

Showing the 25 largest of 33 asset managers. See all 33 in the interactive database.

2. Elect Director: William H. Yeh

Outcome not verifiedDIRECTOR ELECTIONSReported outcome: Not verified

Meeting held June 6, 2024.

Combines 4 wordings of this item as funds reported it.

75% Majority: yes · of votes cast

FOR 75%WITHHELD

FOR: 12,883,866WITHHELD: 4,397,128

Details: description as filed, official tally, votes by 33 asset managers

Description as filed by funds: Class II Directors for Election: William H. Yeh

APPLIED OPTOELECTRONICS INC.’s own tally for this item (“Elect Director: William H. Yeh”): 12,883,866 for, 4,397,128 withheld, per its Form 8-K filed June 7, 2024 (Item 5.07). FOR was more than half of the votes cast. Whether the item passed is for the filing to say; its statement has not been read for this item.

Reported outcome: not verified — the filing’s own statement of the outcome could not be identified for this item.
Support: 75% of votes cast — FOR ÷ (FOR + WITHHELD); abstentions and broker non-votes are excluded.

The 33 asset managers below reported 3,146,060 for, 2,367,901 withheld, 220,148 abstained.

FORWITHHOLD

FOR: 3,146,060ABSTAIN: 220,148WITHHOLD: 2,367,901

Largest asset managers voting on “Class II Directors for Election: William H. Yeh” at APPLIED OPTOELECTRONICS INC., 2023-2024
Asset manager	For	Abstain	Withheld	Vote
Vanguard	28,600	0	1,334,358	Withhold
Royce	909,435	0	0	For
OBERWEIS FUNDS	849,615	0	0	For
Columbia Threadneedle	0	0	832,863	Withhold
DRIEHAUS MUTUAL FUNDS	586,254	0	0	For
FINANCIAL INVESTORS TRUST	0	219,396	0	Abstain
American Century	186,610	0	0	For
Fidelity	170,155	0	0	For
RBB FUND, INC.	119,806	0	0	For
Dimensional	0	0	92,897	Withhold
TRUST FOR PROFESSIONAL MANAGERS	85,794	0	0	For
Principal	0	0	83,550	Withhold
BlackRock	58,955	0	0	For
Voya	39,220	0	0	For
Brinker Capital Destinations Trust	27,771	0	0	For
Charles Schwab	18,315	0	0	For
State Street	28	0	16,240	Withhold
Equitable	13,531	0	1,039	Mixed
Prudential/PGIM	9,580	0	1,785	Mixed
ADVISORS' INNER CIRCLE FUND	10,100	0	0	For
Northern Trust	8,255	0	0	For
Manager Directed Portfolios	7,599	0	0	For
Victory Capital	4,694	0	0	For
Monteagle Funds	3,950	0	0	For
Lincoln Financial	0	0	3,768	Withhold

Showing the 25 largest of 33 asset managers. See all 33 in the interactive database.

3. 1. To approve the amendment to the Company's Amended and Restated Certificate of Incorporation to increase the…

Outcome not verifiedCAPITAL STRUCTUREReported outcome: Not verified

Meeting held September 7, 2023.

Combines 4 wordings of this item as funds reported it.

88% Majority: yes · of votes cast

FOR 88%

FOR: 17,563,297AGAINST: 2,508,496

Details: description as filed, official tally, votes by 18 asset managers

Description as filed by funds: To approve an amendment to the Company's Amended and Restated Certificate of Incorporation to increase the number of authorized shares of common stock ("Proposal No. 1").

APPLIED OPTOELECTRONICS INC.’s own tally for this item (“1. To approve the amendment to the Company's Amended and Restated Certificate of Incorporation to increase the authorized number of shares of common stock from 45,000,000 shares to 80,000,000 shares”): 17,563,297 for, 2,508,496 against, per its Form 8-K filed September 7, 2023 (Item 5.07). FOR was more than half of the votes cast. Whether the item passed is for the filing to say; its statement has not been read for this item.

Reported outcome: not verified — the filing’s own statement of the outcome could not be identified for this item.
Support: 88% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.

The 18 asset managers below reported 2,457,932 for.

FOR

FOR: 2,457,932

Largest asset managers voting on “To approve an amendment to the Company's Amended and Restated Certificate of Incorporation to increase the num” at APPLIED OPTOELECTRONICS INC., 2023-2024
Asset manager	For	Vote
Columbia Threadneedle	1,146,645	For
Royce	926,288	For
Gabelli	115,000	For
Fidelity	90,222	For
Vanguard	56,383	For
Legg Mason	34,741	For
American Century	22,030	For
BlackRock	17,798	For
BRIDGEWAY FUNDS INC	17,506	For
Equitable	12,181	For
Northern Trust	8,255	For
Lincoln Financial	3,768	For
AIG/SunAmerica	3,163	For
Allianz	2,196	For
Jackson National	659	For
Charles Schwab	529	For
John Hancock	524	For
Victory Capital	44	For

4. To approve the adjournment of the Special Meeting if there are insufficient votes at the Special Meeting to approve…

No official matchCORPORATE GOVERNANCE

Meeting held September 7, 2023.

100% of fund votes cast · no official result

FOR

Details: description as filed, votes by 13 asset managers

Description as filed by funds: To approve the adjournment of the Special Meeting if there are insufficient votes at the Special Meeting to approve Proposal No. 1.

The 13 asset managers below reported 2,327,469 for. The figure above is FOR ÷ (FOR + AGAINST + WITHHELD) of the shares these managers voted; abstained and unvoted shares are in neither half, and these managers are a subset of all shareholders, not the meeting result.

FOR: 2,327,469

Largest asset managers voting on “To approve the adjournment of the Special Meeting if there are insufficient votes at the Special Meeting to ap” at APPLIED OPTOELECTRONICS INC., 2023-2024
Asset manager	For	Vote
Columbia Threadneedle	1,146,645	For
Royce	926,288	For
Fidelity	90,222	For
Vanguard	56,383	For
Legg Mason	34,741	For
American Century	22,030	For
BlackRock	17,798	For
BRIDGEWAY FUNDS INC	17,506	For
Northern Trust	8,255	For
Lincoln Financial	3,768	For
AIG/SunAmerica	3,163	For
Equitable	626	For
Victory Capital	44	For

5. To approve an adjournment of the Special Meeting if there are insufficient votes at the Special Meeting to approve…

No official matchCORPORATE GOVERNANCE

Meeting held September 7, 2023.

Combines 2 wordings of this item as funds reported it.

100% of fund votes cast · no official result

FOR

Details: description as filed, votes by 6 asset managers

Description as filed by funds: To approve an adjournment of the Special Meeting if there are insufficient votes at the Special Meeting to approve Proposal No. 1

The 6 asset managers below reported 130,463 for. The figure above is FOR ÷ (FOR + AGAINST + WITHHELD) of the shares these managers voted; abstained and unvoted shares are in neither half, and these managers are a subset of all shareholders, not the meeting result.

FOR: 130,463

Largest asset managers voting on “To approve an adjournment of the Special Meeting if there are insufficient votes at the Special Meeting to app” at APPLIED OPTOELECTRONICS INC., 2023-2024
Asset manager	For	Vote
Gabelli	115,000	For
Equitable	11,555	For
Allianz	2,196	For
Jackson National	659	For
Charles Schwab	529	For
John Hancock	524	For

6. 6. To approve a portion of the award of performance-vesting restricted stock units (PSUs) granted to our Chief…

Outcome not verifiedCOMPENSATIONReported outcome: Not verified

Meeting held June 6, 2024.

Combines 2 wordings of this item as funds reported it.

89% Majority: yes · of votes cast

FOR 89%

FOR: 15,067,633AGAINST: 1,775,241

Details: description as filed, official tally, votes by 35 asset managers

Description as filed by funds: To approve a portion of the award of performance-vesting restricted stock units (PSUs) granted to our Chief Executive Officer in June 2023 with respect to 355,871 shares at target level performance, which portion exceeded the annual limit on the value of awards granted under our 2021 Equity Incentive Plan.

APPLIED OPTOELECTRONICS INC.’s own tally for this item (“6. To approve a portion of the award of performance-vesting restricted stock units (PSUs) granted to our Chief Executive Officer in June 2023 with respect to 355,871 shares at target level performance, which portion exce”): 15,067,633 for, 1,775,241 against, per its Form 8-K filed June 7, 2024 (Item 5.07). FOR was more than half of the votes cast. Whether the item passed is for the filing to say; its statement has not been read for this item.

Reported outcome: not verified — the filing’s own statement of the outcome could not be identified for this item.
Support: 89% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.

The 35 asset managers below reported 5,493,000 for, 228,689 against, 38,495 abstained.

FOR

FOR: 5,493,000AGAINST: 228,689ABSTAIN: 38,495

Largest asset managers voting on “To approve a portion of the award of performance-vesting restricted stock units (PSUs) granted to our Chief Ex” at APPLIED OPTOELECTRONICS INC., 2023-2024
Asset manager	For	Against	Abstain	Vote
Vanguard	1,362,958	0	0	For
Royce	909,435	0	0	For
OBERWEIS FUNDS	849,615	0	0	For
Columbia Threadneedle	832,863	0	0	For
DRIEHAUS MUTUAL FUNDS	586,254	0	0	For
FINANCIAL INVESTORS TRUST	219,396	0	0	For
American Century	0	186,610	0	Against
Fidelity	170,155	0	0	For
RBB FUND, INC.	119,806	0	0	For
Dimensional	92,897	0	0	For
TRUST FOR PROFESSIONAL MANAGERS	79,955	5,839	0	Mixed
Principal	83,550	0	0	For
BlackRock	58,955	0	0	For
Voya	39,220	0	0	For
Brinker Capital Destinations Trust	27,771	0	0	For
Gabelli	0	0	26,000	Abstain
Charles Schwab	0	18,315	0	Against
State Street	16,268	0	0	For
Equitable	2,075	0	12,495	Mixed
Prudential/PGIM	11,365	0	0	For
ADVISORS' INNER CIRCLE FUND	0	10,100	0	Against
Northern Trust	8,255	0	0	For
Manager Directed Portfolios	0	7,599	0	Against
Victory Capital	4,694	0	0	For
Monteagle Funds	3,950	0	0	For

Showing the 25 largest of 35 asset managers. See all 35 in the interactive database.

7. 5. To approve the Applied Optoelectronics, Inc. 2021 Equity Incentive Plan, as amended, to increase the number of…

Outcome not verifiedCOMPENSATIONReported outcome: Not verified

Meeting held June 6, 2024.

Combines 2 wordings of this item as funds reported it.

39% Majority: no · of votes cast

FOR 39%AGAINST

FOR: 6,739,828AGAINST: 10,340,097

Details: description as filed, official tally, votes by 35 asset managers

Description as filed by funds: To approve our 2021 Equity Incentive Plan, as amended to increase the number of shares of Common Stock reserved for issuance thereunder by 2,000,000 shares and increase certain annual limits on the value of awards.

APPLIED OPTOELECTRONICS INC.’s own tally for this item (“5. To approve the Applied Optoelectronics, Inc. 2021 Equity Incentive Plan, as amended, to increase the number of shares of common stock reserved for issuance under the plan by 2,000,000 shares and increase certain annua”): 6,739,828 for, 10,340,097 against, per its Form 8-K filed June 7, 2024 (Item 5.07). FOR was not more than half of the votes cast. Whether the item passed is for the filing to say; its statement has not been read for this item.

Reported outcome: not verified — the filing’s own statement of the outcome could not be identified for this item.
Support: 39% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.

The 35 asset managers below reported 1,350,573 for, 4,409,611 against.

FORAGAINST

FOR: 1,350,573AGAINST: 4,409,611

Largest asset managers voting on “To approve our 2021 Equity Incentive Plan, as amended to increase the number of shares of Common Stock reserve” at APPLIED OPTOELECTRONICS INC., 2023-2024
Asset manager	For	Against	Vote
Vanguard	0	1,362,958	Against
Royce	0	909,435	Against
OBERWEIS FUNDS	0	849,615	Against
Columbia Threadneedle	832,863	0	For
DRIEHAUS MUTUAL FUNDS	0	586,254	Against
FINANCIAL INVESTORS TRUST	219,396	0	For
American Century	0	186,610	Against
Fidelity	149,878	20,277	Mixed
RBB FUND, INC.	0	119,806	Against
Dimensional	0	92,897	Against
TRUST FOR PROFESSIONAL MANAGERS	0	85,794	Against
Principal	83,550	0	For
BlackRock	58,955	0	For
Voya	0	39,220	Against
Brinker Capital Destinations Trust	0	27,771	Against
Gabelli	0	26,000	Against
Charles Schwab	0	18,315	Against
State Street	12	16,256	Against
Equitable	1,036	13,534	Mixed
Prudential/PGIM	1,785	9,580	Mixed
ADVISORS' INNER CIRCLE FUND	0	10,100	Against
Northern Trust	0	8,255	Against
Manager Directed Portfolios	0	7,599	Against
Victory Capital	0	4,694	Against
Monteagle Funds	0	3,950	Against

Showing the 25 largest of 35 asset managers. See all 35 in the interactive database.

8. 3. To approve on an advisory basis, the compensation of the Company's named executive officers

Outcome not verified Fund totals may overlapSECTION 14A SAY-ON-PAY VOTESReported outcome: Not verified

Meeting held June 6, 2024.

Combines 4 wordings of this item as funds reported it.

90% Majority: yes · of votes cast

FOR 90%

FOR: 15,242,588AGAINST: 1,661,631

Details: description as filed, official tally, votes by 96 asset managers

Description as filed by funds: To approve, on an advisory basis, the compensation of our named executive officers.

APPLIED OPTOELECTRONICS INC.’s own tally for this item (“3. To approve on an advisory basis, the compensation of the Company's named executive officers”): 15,242,588 for, 1,661,631 against, per its Form 8-K filed June 7, 2024 (Item 5.07). FOR was more than half of the votes cast. Whether the item passed is for the filing to say; its statement has not been read for this item.

Reported outcome: not verified — the filing’s own statement of the outcome could not be identified for this item.
Support: 90% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.

Fund voting reports: 34 asset managers voting on “To approve, on an advisory basis, the compensation of our named executive officers.” at APPLIED OPTOELECTRONICS INC., 2023-2024
Asset manager	For	Against	Vote
Vanguard	1,362,958	0	For
Royce	909,435	0	For
OBERWEIS FUNDS	849,615	0	For
Columbia Threadneedle	832,863	0	For
DRIEHAUS MUTUAL FUNDS	586,254	0	For
FINANCIAL INVESTORS TRUST	219,396	0	For
American Century	0	186,610	Against
Fidelity	170,155	0	For
RBB FUND, INC.	119,806	0	For
Dimensional	0	92,897	Against
TRUST FOR PROFESSIONAL MANAGERS	79,955	5,839	Mixed
Principal	83,550	0	For
BlackRock	58,955	0	For
Voya	39,220	0	For
Brinker Capital Destinations Trust	27,771	0	For
Gabelli	26,000	0	For
Charles Schwab	0	18,315	Against
State Street	16,267	1	For
Equitable	14,570	0	For
Prudential/PGIM	11,365	0	For
ADVISORS' INNER CIRCLE FUND	0	10,100	Against
Northern Trust	8,255	0	For
Manager Directed Portfolios	0	7,599	Against
Victory Capital	4,694	0	For
Monteagle Funds	3,950	0	For

Fund voting reports, all 34 managers: 5,434,002 for, 326,107 against. Showing the 25 largest; see all in the interactive database.

Institutional-manager reports: 73 asset managers voting on “To approve, on an advisory basis, the compensation of our named executive officers.” at APPLIED OPTOELECTRONICS INC., 2023-2024
Asset manager	For	Against	Vote
DRIEHAUS CAPITAL MANAGEMENT LLC	1,754,703	0	For
OBERWEIS ASSET MANAGEMENT INC/	849,615	0	For
Point72	745,271	0	For
Portolan Capital Management, LLC	663,962	0	For
KENNEDY CAPITAL MANAGEMENT LLC	437,638	0	For
Hood River Capital Management LLC	0	419,137	Against
BlackRock	346,778	1,663	For
EMERALD MUTUAL FUND ADVISERS TRUST	304,731	0	For
Royce	258,779	0	For
DE Shaw	216,834	0	For
EMERALD ADVISERS, LLC	211,749	0	For
American Century	0	192,449	Against
AMERIPRISE FINANCIAL INC	127,611	0	For
MARSHALL WACE, LLP	0	123,632	Against
Gabelli	59,395	0	For
Whale Rock Capital Management LLC	0	52,551	Against
Northern Trust	52,327	0	For
GEODE CAPITAL MANAGEMENT, LLC	48,823	0	For
State Street	46,909	813	For
Voya	39,220	0	For
Dimensional	0	35,052	Against
CAPITAL FUND MANAGEMENT S.A.	0	33,672	Against
Vanguard	32,634	0	For
RICE HALL JAMES & ASSOCIATES, LLC	0	30,714	Against
G2 Investment Partners Management LLC	26,059	0	For

Institutional-manager reports, all 73 managers: 6,315,153 for, 937,480 against, 11,619 abstained. Showing the 25 largest; see all in the interactive database.

9. To approve, on an advisory basis, the frequency of future advisory votes on the compensation of our named executive…

No official match Fund totals may overlapSECTION 14A SAY-ON-PAY VOTES

Meeting held June 6, 2024.

Combines 3 wordings of this item as funds reported it.

100% Fund and manager reports combined; may count the same shares twice · no official result

1 YEAR

Details: description as filed, votes by 94 asset managers

Description as filed by funds: To approve, on an advisory basis, the frequency of future advisory votes on the compensation of our named executive officers

Fund voting reports and institutional-manager reports both cover this item. An institutional manager can report shares that a fund it advises also reports, so the two are shown separately below and never added together, and their sum is not shown (fund and manager reports combined may count the same shares twice). The figure above is FOR ÷ (FOR + AGAINST + WITHHELD) of the shares these managers voted; abstained and unvoted shares are in neither half, and these managers are a subset of all shareholders, not the meeting result.

Fund voting reports: 34 asset managers voting on “To approve, on an advisory basis, the frequency of future advisory votes on the compensation of our named exec” at APPLIED OPTOELECTRONICS INC., 2023-2024
Asset manager	For	Against	Abstain	Withheld	Vote
Vanguard	0	0	0	0	--
Royce	0	0	0	0	--
OBERWEIS FUNDS	0	0	0	0	--
Columbia Threadneedle	0	0	0	0	--
DRIEHAUS MUTUAL FUNDS	0	0	0	0	--
FINANCIAL INVESTORS TRUST	0	0	0	0	--
American Century	0	0	0	0	--
Fidelity	0	0	0	0	--
RBB FUND, INC.	0	0	0	0	--
Dimensional	0	0	0	0	--
TRUST FOR PROFESSIONAL MANAGERS	0	0	0	0	--
Principal	0	0	0	0	--
BlackRock	0	0	0	0	--
Voya	0	0	0	0	--
Brinker Capital Destinations Trust	0	0	0	0	--
Gabelli	0	0	0	0	--
Charles Schwab	0	0	0	0	--
State Street	0	0	0	0	--
Equitable	0	0	0	0	--
Prudential/PGIM	0	0	0	0	--
ADVISORS' INNER CIRCLE FUND	0	0	0	0	--
Northern Trust	0	0	0	0	--
Manager Directed Portfolios	0	0	0	0	--
Victory Capital	0	0	0	0	--
Monteagle Funds	0	0	0	0	--

Fund voting reports, all 34 managers: 1,622 for, 5,661,070 1 year, 97,417 3 year. Showing the 25 largest; see all in the interactive database.

Institutional-manager reports: 70 asset managers voting on “To approve, on an advisory basis, the frequency of future advisory votes on the compensation of our named exec” at APPLIED OPTOELECTRONICS INC., 2023-2024
Asset manager	For	Vote
DRIEHAUS CAPITAL MANAGEMENT LLC	0	--
OBERWEIS ASSET MANAGEMENT INC/	0	--
Point72	0	--
Portolan Capital Management, LLC	0	--
KENNEDY CAPITAL MANAGEMENT LLC	0	--
Hood River Capital Management LLC	419,137	For
BlackRock	0	--
EMERALD MUTUAL FUND ADVISERS TRUST	0	--
Royce	0	--
DE Shaw	0	--
EMERALD ADVISERS, LLC	0	--
American Century	0	--
AMERIPRISE FINANCIAL INC	0	--
MARSHALL WACE, LLP	0	--
Gabelli	0	--
Whale Rock Capital Management LLC	0	--
Northern Trust	0	--
GEODE CAPITAL MANAGEMENT, LLC	0	--
State Street	0	--
Voya	0	--
Dimensional	0	--
CAPITAL FUND MANAGEMENT S.A.	0	--
Vanguard	0	--
RICE HALL JAMES & ASSOCIATES, LLC	0	--
G2 Investment Partners Management LLC	0	--

Institutional-manager reports, all 70 managers: 419,307 for, 6,802,471 1 year, 35,052 3 year. Showing the 25 largest; see all in the interactive database.

10. 2. To ratify the appointment of Grant Thornton LLP as the Company's independent registered public accounting firm for…

Outcome not verifiedAUDIT-RELATEDReported outcome: Not verified

Meeting held June 6, 2024.

Combines 2 wordings of this item as funds reported it.

99.3% Majority: yes · of votes cast

FOR 99.3%

FOR: 25,518,024AGAINST: 159,790

Details: description as filed, official tally, votes by 35 asset managers

Description as filed by funds: To ratify the appointment of Grant Thornton LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2024.

APPLIED OPTOELECTRONICS INC.’s own tally for this item (“2. To ratify the appointment of Grant Thornton LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2024”): 25,518,024 for, 159,790 against, per its Form 8-K filed June 7, 2024 (Item 5.07). FOR was more than half of the votes cast. Whether the item passed is for the filing to say; its statement has not been read for this item.

Reported outcome: not verified — the filing’s own statement of the outcome could not be identified for this item.
Support: 99.3% of votes cast — FOR ÷ (FOR + AGAINST); abstentions and broker non-votes are excluded.

The 35 asset managers below reported 5,760,184 for.

FOR

FOR: 5,760,184

Largest asset managers voting on “To ratify the appointment of Grant Thornton LLP as our independent registered public accounting firm for the f” at APPLIED OPTOELECTRONICS INC., 2023-2024
Asset manager	For	Vote
Vanguard	1,362,958	For
Royce	909,435	For
OBERWEIS FUNDS	849,615	For
Columbia Threadneedle	832,863	For
DRIEHAUS MUTUAL FUNDS	586,254	For
FINANCIAL INVESTORS TRUST	219,396	For
American Century	186,610	For
Fidelity	170,155	For
RBB FUND, INC.	119,806	For
Dimensional	92,897	For
TRUST FOR PROFESSIONAL MANAGERS	85,794	For
Principal	83,550	For
BlackRock	58,955	For
Voya	39,220	For
Brinker Capital Destinations Trust	27,771	For
Gabelli	26,000	For
Charles Schwab	18,315	For
State Street	16,268	For
Equitable	14,570	For
Prudential/PGIM	11,365	For
ADVISORS' INNER CIRCLE FUND	10,100	For
Northern Trust	8,255	For
Manager Directed Portfolios	7,599	For
Victory Capital	4,694	For
Monteagle Funds	3,950	For

Showing the 25 largest of 35 asset managers. See all 35 in the interactive database.

Largest APPLIED OPTOELECTRONICS INC. shareholders voting in 2023-2024

Ranked separately for each type of Form N-PX report. An institutional manager can report shares that a fund it advises also reports, so the two tables can list the same shares and are never added together. Each is ranked by the shares voted on the item that the most managers of that type reported, shown as a share of the 38,907,933 shares outstanding at the time of that meeting.

Fund voting reports: top APPLIED OPTOELECTRONICS INC. shareholders by shares voted on “To approve, on an advisory basis, the compensation of our named executive officers.”, 2023-2024
#	Asset manager	% of shares outstanding
1	Vanguard	3.50%
2	Royce	2.34%
3	OBERWEIS FUNDS	2.18%
4	Columbia Threadneedle	2.14%
5	DRIEHAUS MUTUAL FUNDS	1.51%
6	FINANCIAL INVESTORS TRUST	0.56%
7	American Century	0.48%
8	Fidelity	0.44%
9	RBB FUND, INC.	0.31%
10	Dimensional	0.24%

Institutional-manager reports: top APPLIED OPTOELECTRONICS INC. shareholders by shares voted on “To approve, on an advisory basis, the compensation of our named executive officers.”, 2023-2024
#	Asset manager	% of shares outstanding
1	DRIEHAUS CAPITAL MANAGEMENT LLC	4.51%
2	OBERWEIS ASSET MANAGEMENT INC/	2.18%
3	Point72	1.92%
4	Portolan Capital Management, LLC	1.71%
5	KENNEDY CAPITAL MANAGEMENT LLC	1.12%
6	Hood River Capital Management LLC	1.08%
7	BlackRock	0.90%
8	EMERALD MUTUAL FUND ADVISERS TRUST	0.78%
9	Royce	0.67%
10	DE Shaw	0.56%

Reported APPLIED OPTOELECTRONICS INC. holdings and ownership

As disclosed to the SEC in Form 13F (quarter-end holdings of 30 large managers), Schedules 13D and 13G (beneficial ownership above 5%) and the company’s own proxy statement (DEF 14A). Each row names its form.

APPLIED OPTOELECTRONICS INC. holdings and ownership disclosed for the 2023-2024 proxy season
Holder	% outstanding	Disclosure
BlackRock	12.47%	13F
Vanguard Group	11.89%	13F
Driehaus Capital Management LLC	7.11%	DEF14A
Goldman Sachs	4.27%	13F
Point72	3.62%	13F
Chih-Hsiang (Thompson) Lin	2.06%	DEF14A
Morgan Stanley	1.70%	13F
Dimensional Fund Advisors	1.52%	13F
D.E. Shaw	1.33%	13F
Millennium Management	0.97%	13F

Percentages above are of 38,907,933 shares outstanding, as reported by APPLIED OPTOELECTRONICS INC. on its Form 10-Q dated May 6, 2024 (see the filing on EDGAR). This is the count contemporaneous with the 2023-2024 meeting, not today’s. Each holding is as of its own filing, which may be dated before or after the meeting.

About this page

Every figure above is derived from filings made with the US Securities and Exchange Commission: Form N-PX, in which registered funds disclose how they voted every proxy and institutional managers disclose their votes on executive pay (say-on-pay, say-on-frequency and golden parachutes), and Form 8-K Item 5.07, in which the company reports its own meeting results. Shares outstanding are taken from APPLIED OPTOELECTRONICS INC.’s 10-Q dated May 6, 2024. This page is a static snapshot rebuilt weekly on October 14, 2026; a live search always shows the current data.

At APPLIED OPTOELECTRONICS INC.'s 2 shareholder meetings in the 2023-2024 proxy season (held September 7, 2023 and June 6, 2024), 100 asset managers reported how they voted in their SEC Form N-PX filings, covering 801 separate fund positions. Their filings are grouped here into 10 reported items; because filers word the same ballot item differently, that can be more than the number of items on the ballot. On the most widely held item of the season, voted at the meeting held June 6, 2024 — To approve, on an advisory basis, the compensation of our named executive officers. — FOR was 90% of the votes cast (FOR divided by FOR plus AGAINST, the conventional basis for proxy support; abstentions, broker non-votes and unvoted shares are excluded because none of them took a side), which is more than half. Whether the item was approved is for the filing to say; that statement has not been read for this item. Source: APPLIED OPTOELECTRONICS INC.'s Form 8-K, Item 5.07, filed with the U.S. Securities and Exchange Commission on June 7, 2024.

APPLIED OPTOELECTRONICS INC. proxy season coverage: 2023-2024 (this page) · 2024-2025 · 2025-2026.

Download data (CSV): ballot items · votes by manager · column guide.