For Questions Regarding:
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| |
Contact:
|
|
Special meeting | | |
Applied Optoelectronics, Inc. Investor Relations
David Kuo at david_kuo@ao-inc.com |
|
Stock ownership for registered holders | | |
Continental Stock Transfer & Trust Company (800) 509-5586
(within the U.S. and Canada) or (212) 509-4000 (worldwide) or cstmail@continentalstock.com |
|
Stock ownership for beneficial holders | | | Please contact your broker, bank or other nominee | |
Voting for registered holders | | |
Applied Optoelectronics, Inc. Investor Relations
David Kuo at David_Kuo@ao-inc.com |
|
Voting for beneficial holders | | | Please contact your broker, bank or other nominee | |
Questions for beneficial and register
holders |
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Alliance Advisors at AAOI@allianceadvisors.com
Toll-free: (888) 490-5088 |
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Page
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Notice of Special Meeting of Stockholders | | | | | | | |
| | | | 1 | | | |
| | | | 1 | | | |
| | | | 4 | | | |
| | | | 7 | | | |
| | | | 8 | | | |
| | | | 10 | | | |
| | | | 10 | | | |
| | | | 10 | | |
| | |
Number of Shares of
Common Stock |
| |||
Authorized for issuance
|
| | | | 45,000,000 | | |
Issued and outstanding
|
| | | | 31,785,027 | | |
Reserved for issuance (excluding equity compensation)
|
| | | | 4,587,000 | | |
Issuable pursuant to outstanding equity awards under equity compensation plans
|
| | | | 5,349,408 | | |
Reserved and available for future issuance under our equity compensation plans
|
| | | | 739,779 | | |
Total share usage (sum of issued and outstanding and reserved for issuance)
|
| | | | 42,461,214 | | |
Total share usage as percentage of authorized
|
| | | | 94.4% | | |
Names of Beneficial owner
|
| |
Number of Shares
of Common Stock Beneficially Owned |
| |
Percentage of
Common Stock Beneficially Owned |
| ||||||
5% or Greater Stockholders: | | | | | | | | | | | | | |
Citadel Advisors LLC and related entities and persons(1)
|
| | | | 1,830,933 | | | | | | 5.8% | | |
Directors and Named Executive Officers: | | | | | | | | | | | | | |
Chih-Hsiang (Thompson) Lin(2)
|
| | | | 767,454 | | | | | | 2.4% | | |
Che-Wei Lin
|
| | | | 147,838 | | | | | | * | | |
William H. Yeh
|
| | | | 158,330 | | | | | | * | | |
Richard B. Black(3)
|
| | | | 138,567 | | | | | | * | | |
Cynthia DeLaney(4)
|
| | | | 69,913 | | | | | | * | | |
Min-Chu (Mike) Chen(5)
|
| | | | 132,436 | | | | | | * | | |
Elizabeth Loboa
|
| | | | 80,586 | | | | | | * | | |
Hung-Lun (Fred) Chang(6)
|
| | | | 84,533 | | | | | | * | | |
Stefan J. Murry(7)
|
| | | | 111,093 | | | | | | * | | |
Shu-Hua (Joshua) Yeh(8)
|
| | | | 192,344 | | | | | | * | | |
David Kuo(9)
|
| | | | 29,738 | | | | | | * | | |
All executive officers and directors as a group (11 persons)(10)
|
| | | | 1,912,832 | | | | | | 6.0% | | |
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