Home › Companies › APPLIED OPTOELECTRONICS INC. › 2023-2024
Compiled from SEC Form N-PX filings and APPLIED OPTOELECTRONICS INC.’s Form 8-K, filed 2024-06-07 (Item 5.07 on EDGAR). Page generated 02 October 2026.
Explore APPLIED OPTOELECTRONICS INC. in the interactive database Compare manager voting policies
These tallies are APPLIED OPTOELECTRONICS INC.’s own, as disclosed to the U.S. Securities and Exchange Commission on Form 8-K, filed 2024-06-07 (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.
| Ballot item | For | Against | Abstain | Withheld | Broker non-votes | Outcome |
|---|---|---|---|---|---|---|
| Elect Director: William H. Yeh | 12,883,866 | -- | -- | 4,397,128 | 8,502,463 | Majority: yes |
| Elect Director: Cynthia (Cindy) DeLaney | 16,386,831 | -- | -- | 894,163 | 8,502,463 | Majority: yes |
| Proposal 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 | -- | -- | Majority: yes |
| Proposal 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 | Majority: yes |
| Proposal 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 | Majority: no |
| Proposal 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 | 15,067,633 | 1,775,241 | 438,120 | -- | 8,502,463 | Majority: yes |
Source: APPLIED OPTOELECTRONICS INC., Form 8-K, filed with the SEC on 2024-06-07 — read the filing on EDGAR.
Each item below shows how the 102 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.
Meeting held 2024-06-06.
Combines 4 wordings of this item as funds reported it.
90% Majority: yes · of votes cast
APPLIED OPTOELECTRONICS INC.’s own tally for this item (“Proposal 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 2024-06-07 (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. Of all 38,907,933 outstanding shares: 39% for, 4% against (43% of the company cast a for/against vote).
The 96 asset managers below cast 90% of the shares they voted on this item FOR (11,749,155 for, 1,263,587 against).
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| DRIEHAUS CAPITAL MANAGEMENT LLC | 1,754,703 | 0 | 0 | 0 | For |
| Vanguard | 1,395,592 | 0 | 0 | 0 | For |
| Royce | 1,168,214 | 0 | 0 | 0 | For |
| OBERWEIS ASSET MANAGEMENT INC/ | 849,615 | 0 | 0 | 0 | For |
| OBERWEIS FUNDS | 849,615 | 0 | 0 | 0 | For |
| Columbia Threadneedle | 832,863 | 0 | 0 | 0 | For |
| Point72 | 745,271 | 0 | 0 | 0 | For |
| Portolan Capital Management, LLC | 663,962 | 0 | 0 | 0 | For |
| DRIEHAUS MUTUAL FUNDS | 586,254 | 0 | 0 | 0 | For |
| KENNEDY CAPITAL MANAGEMENT LLC | 437,638 | 0 | 0 | 0 | For |
| Hood River Capital Management LLC | 0 | 419,137 | 0 | 0 | Against |
| BlackRock | 405,733 | 1,663 | 0 | 0 | For |
| American Century | 0 | 379,059 | 0 | 0 | Against |
| EMERALD MUTUAL FUND ADVISERS TRUST | 304,731 | 0 | 0 | 0 | For |
| FINANCIAL INVESTORS TRUST | 219,396 | 0 | 0 | 0 | For |
| DE Shaw | 216,834 | 0 | 0 | 0 | For |
| EMERALD ADVISERS, LLC | 211,749 | 0 | 0 | 0 | For |
| Fidelity | 170,155 | 0 | 0 | 0 | For |
| Dimensional | 0 | 127,949 | 0 | 0 | Against |
| AMERIPRISE FINANCIAL INC | 127,611 | 0 | 0 | 0 | For |
| MARSHALL WACE, LLP | 0 | 123,632 | 0 | 0 | Against |
| RBB FUND, INC. | 119,806 | 0 | 0 | 0 | For |
| TRUST FOR PROFESSIONAL MANAGERS | 79,955 | 5,839 | 0 | 0 | For |
| Gabelli | 85,395 | 0 | 0 | 0 | For |
| Principal | 83,550 | 0 | 0 | 0 | For |
Showing the 25 largest of 96 asset managers. See all 96 in the interactive database.
Meeting held 2024-06-06.
Combines 3 wordings of this item as funds reported it.
100% fund support · no official result
The 94 asset managers below cast 100% of the shares they voted on this item FOR (420,929 for, 0 against).
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| DRIEHAUS CAPITAL MANAGEMENT LLC | 0 | 0 | 0 | 0 | One Year |
| Vanguard | 0 | 0 | 0 | 0 | One Year |
| Royce | 0 | 0 | 0 | 0 | One Year |
| OBERWEIS ASSET MANAGEMENT INC/ | 0 | 0 | 0 | 0 | One Year |
| OBERWEIS FUNDS | 0 | 0 | 0 | 0 | One Year |
| Columbia Threadneedle | 0 | 0 | 0 | 0 | One Year |
| Point72 | 0 | 0 | 0 | 0 | One Year |
| Portolan Capital Management, LLC | 0 | 0 | 0 | 0 | 1 Year |
| DRIEHAUS MUTUAL FUNDS | 0 | 0 | 0 | 0 | One Year |
| KENNEDY CAPITAL MANAGEMENT LLC | 0 | 0 | 0 | 0 | One Year |
| Hood River Capital Management LLC | 419,137 | 0 | 0 | 0 | For |
| BlackRock | 0 | 0 | 0 | 0 | One Year |
| American Century | 0 | 0 | 0 | 0 | One Year |
| EMERALD MUTUAL FUND ADVISERS TRUST | 0 | 0 | 0 | 0 | 1 Year |
| FINANCIAL INVESTORS TRUST | 0 | 0 | 0 | 0 | 1 Year |
| DE Shaw | 0 | 0 | 0 | 0 | One Year |
| EMERALD ADVISERS, LLC | 0 | 0 | 0 | 0 | 1 Year |
| Fidelity | 0 | 0 | 0 | 0 | One Year |
| Dimensional | 0 | 0 | 0 | 0 | Three Years |
| AMERIPRISE FINANCIAL INC | 0 | 0 | 0 | 0 | One Year |
| MARSHALL WACE, LLP | 0 | 0 | 0 | 0 | 1 Year |
| RBB FUND, INC. | 0 | 0 | 0 | 0 | One Year |
| TRUST FOR PROFESSIONAL MANAGERS | 0 | 0 | 0 | 0 | 1 Year |
| Gabelli | 0 | 0 | 0 | 0 | 1 Year |
| Principal | 0 | 0 | 0 | 0 | One Year |
Showing the 25 largest of 94 asset managers. See all 94 in the interactive database.
Meeting held 2024-06-06.
Combines 2 wordings of this item as funds reported it.
89% Majority: yes · of votes cast
APPLIED OPTOELECTRONICS INC.’s own tally for this item (“Proposal 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 por”): 15,067,633 for, 1,775,241 against, per its Form 8-K filed 2024-06-07 (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. Of all 38,907,933 outstanding shares: 39% for, 5% against (43% of the company cast a for/against vote).
The 35 asset managers below cast 96% of the shares they voted on this item FOR (5,493,000 for, 228,689 against).
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| Vanguard | 1,362,958 | 0 | 0 | 0 | For |
| Royce | 909,435 | 0 | 0 | 0 | For |
| OBERWEIS FUNDS | 849,615 | 0 | 0 | 0 | For |
| Columbia Threadneedle | 832,863 | 0 | 0 | 0 | For |
| DRIEHAUS MUTUAL FUNDS | 586,254 | 0 | 0 | 0 | For |
| FINANCIAL INVESTORS TRUST | 219,396 | 0 | 0 | 0 | For |
| American Century | 0 | 186,610 | 0 | 0 | Against |
| Fidelity | 170,155 | 0 | 0 | 0 | For |
| RBB FUND, INC. | 119,806 | 0 | 0 | 0 | For |
| Dimensional | 92,897 | 0 | 0 | 0 | For |
| TRUST FOR PROFESSIONAL MANAGERS | 79,955 | 5,839 | 0 | 0 | For |
| Principal | 83,550 | 0 | 0 | 0 | For |
| BlackRock | 58,955 | 0 | 0 | 0 | For |
| Voya | 39,220 | 0 | 0 | 0 | For |
| Brinker Capital Destinations Trust | 27,771 | 0 | 0 | 0 | For |
| Gabelli | 0 | 0 | 26,000 | 0 | Abstain |
| Charles Schwab | 0 | 18,315 | 0 | 0 | Against |
| State Street | 16,268 | 0 | 0 | 0 | For |
| Equitable | 2,075 | 0 | 12,495 | 0 | Abstain |
| Prudential/PGIM | 11,365 | 0 | 0 | 0 | For |
| ADVISORS' INNER CIRCLE FUND | 0 | 10,100 | 0 | 0 | Against |
| Northern Trust | 8,255 | 0 | 0 | 0 | For |
| Manager Directed Portfolios | 0 | 7,599 | 0 | 0 | Against |
| Victory Capital | 4,694 | 0 | 0 | 0 | For |
| Monteagle Funds | 3,950 | 0 | 0 | 0 | For |
Showing the 25 largest of 35 asset managers. See all 35 in the interactive database.
Meeting held 2024-06-06.
Combines 2 wordings of this item as funds reported it.
39% Majority: no · of votes cast
APPLIED OPTOELECTRONICS INC.’s own tally for this item (“Proposal 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 cert”): 6,739,828 for, 10,340,097 against, per its Form 8-K filed 2024-06-07 (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. Of all 38,907,933 outstanding shares: 17% for, 27% against (44% of the company cast a for/against vote).
The 35 asset managers below cast 23% of the shares they voted on this item FOR (1,350,573 for, 4,409,611 against).
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| Vanguard | 0 | 1,362,958 | 0 | 0 | Against |
| Royce | 0 | 909,435 | 0 | 0 | Against |
| OBERWEIS FUNDS | 0 | 849,615 | 0 | 0 | Against |
| Columbia Threadneedle | 832,863 | 0 | 0 | 0 | For |
| DRIEHAUS MUTUAL FUNDS | 0 | 586,254 | 0 | 0 | Against |
| FINANCIAL INVESTORS TRUST | 219,396 | 0 | 0 | 0 | For |
| American Century | 0 | 186,610 | 0 | 0 | Against |
| Fidelity | 149,878 | 20,277 | 0 | 0 | For |
| RBB FUND, INC. | 0 | 119,806 | 0 | 0 | Against |
| Dimensional | 0 | 92,897 | 0 | 0 | Against |
| TRUST FOR PROFESSIONAL MANAGERS | 0 | 85,794 | 0 | 0 | Against |
| Principal | 83,550 | 0 | 0 | 0 | For |
| BlackRock | 58,955 | 0 | 0 | 0 | For |
| Voya | 0 | 39,220 | 0 | 0 | Against |
| Brinker Capital Destinations Trust | 0 | 27,771 | 0 | 0 | Against |
| Gabelli | 0 | 26,000 | 0 | 0 | Against |
| Charles Schwab | 0 | 18,315 | 0 | 0 | Against |
| State Street | 12 | 16,256 | 0 | 0 | Against |
| Equitable | 1,036 | 13,534 | 0 | 0 | Against |
| Prudential/PGIM | 1,785 | 9,580 | 0 | 0 | Against |
| ADVISORS' INNER CIRCLE FUND | 0 | 10,100 | 0 | 0 | Against |
| Northern Trust | 0 | 8,255 | 0 | 0 | Against |
| Manager Directed Portfolios | 0 | 7,599 | 0 | 0 | Against |
| Victory Capital | 0 | 4,694 | 0 | 0 | Against |
| Monteagle Funds | 0 | 3,950 | 0 | 0 | Against |
Showing the 25 largest of 35 asset managers. See all 35 in the interactive database.
Meeting held 2024-06-06.
Combines 2 wordings of this item as funds reported it.
99.3% Majority: yes · of votes cast
APPLIED OPTOELECTRONICS INC.’s own tally for this item (“Proposal 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 2024-06-07 (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. Of all 38,907,933 outstanding shares: 66% for, 0.5% against (66% of the company cast a for/against vote).
The 35 asset managers below cast 100% of the shares they voted on this item FOR (5,760,184 for, 0 against).
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| Vanguard | 1,362,958 | 0 | 0 | 0 | For |
| Royce | 909,435 | 0 | 0 | 0 | For |
| OBERWEIS FUNDS | 849,615 | 0 | 0 | 0 | For |
| Columbia Threadneedle | 832,863 | 0 | 0 | 0 | For |
| DRIEHAUS MUTUAL FUNDS | 586,254 | 0 | 0 | 0 | For |
| FINANCIAL INVESTORS TRUST | 219,396 | 0 | 0 | 0 | For |
| American Century | 186,610 | 0 | 0 | 0 | For |
| Fidelity | 170,155 | 0 | 0 | 0 | For |
| RBB FUND, INC. | 119,806 | 0 | 0 | 0 | For |
| Dimensional | 92,897 | 0 | 0 | 0 | For |
| TRUST FOR PROFESSIONAL MANAGERS | 85,794 | 0 | 0 | 0 | For |
| Principal | 83,550 | 0 | 0 | 0 | For |
| BlackRock | 58,955 | 0 | 0 | 0 | For |
| Voya | 39,220 | 0 | 0 | 0 | For |
| Brinker Capital Destinations Trust | 27,771 | 0 | 0 | 0 | For |
| Gabelli | 26,000 | 0 | 0 | 0 | For |
| Charles Schwab | 18,315 | 0 | 0 | 0 | For |
| State Street | 16,268 | 0 | 0 | 0 | For |
| Equitable | 14,570 | 0 | 0 | 0 | For |
| Prudential/PGIM | 11,365 | 0 | 0 | 0 | For |
| ADVISORS' INNER CIRCLE FUND | 10,100 | 0 | 0 | 0 | For |
| Northern Trust | 8,255 | 0 | 0 | 0 | For |
| Manager Directed Portfolios | 7,599 | 0 | 0 | 0 | For |
| Victory Capital | 4,694 | 0 | 0 | 0 | For |
| Monteagle Funds | 3,950 | 0 | 0 | 0 | For |
Showing the 25 largest of 35 asset managers. See all 35 in the interactive database.
Meeting held 2024-06-06.
Combines 4 wordings of this item as funds reported it.
95% Majority: yes · of votes cast
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 2024-06-07 (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. Of all 38,907,933 outstanding shares: 42% for, 2% withheld (44% of the company cast a for/withheld vote).
The 33 asset managers below cast 100% of the shares they voted on this item FOR (5,429,377 for, 0 against).
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| Vanguard | 1,362,958 | 0 | 0 | 0 | For |
| Royce | 909,435 | 0 | 0 | 0 | For |
| OBERWEIS FUNDS | 849,615 | 0 | 0 | 0 | For |
| Columbia Threadneedle | 832,863 | 0 | 0 | 0 | For |
| DRIEHAUS MUTUAL FUNDS | 586,254 | 0 | 0 | 0 | For |
| FINANCIAL INVESTORS TRUST | 0 | 0 | 219,396 | 0 | Abstain |
| American Century | 186,610 | 0 | 0 | 0 | For |
| Fidelity | 170,155 | 0 | 0 | 0 | For |
| RBB FUND, INC. | 119,806 | 0 | 0 | 0 | For |
| Dimensional | 92,897 | 0 | 0 | 0 | For |
| TRUST FOR PROFESSIONAL MANAGERS | 85,794 | 0 | 0 | 0 | For |
| Principal | 0 | 0 | 83,550 | 0 | Abstain |
| BlackRock | 58,955 | 0 | 0 | 0 | For |
| Voya | 39,220 | 0 | 0 | 0 | For |
| Brinker Capital Destinations Trust | 27,771 | 0 | 0 | 0 | For |
| Charles Schwab | 18,315 | 0 | 0 | 0 | For |
| State Street | 16,267 | 0 | 1 | 0 | For |
| Equitable | 14,570 | 0 | 0 | 0 | For |
| Prudential/PGIM | 9,580 | 0 | 1,785 | 0 | For |
| ADVISORS' INNER CIRCLE FUND | 10,100 | 0 | 0 | 0 | For |
| Northern Trust | 8,255 | 0 | 0 | 0 | For |
| Manager Directed Portfolios | 7,599 | 0 | 0 | 0 | For |
| Victory Capital | 4,694 | 0 | 0 | 0 | For |
| Monteagle Funds | 3,950 | 0 | 0 | 0 | For |
| Lincoln Financial | 3,768 | 0 | 0 | 0 | For |
Showing the 25 largest of 33 asset managers. See all 33 in the interactive database.
Meeting held 2024-06-06.
Combines 4 wordings of this item as funds reported it.
75% Majority: yes · of votes cast
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 2024-06-07 (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. Of all 38,907,933 outstanding shares: 33% for, 11% withheld (44% of the company cast a for/withheld vote).
The 33 asset managers below cast 100% of the shares they voted on this item FOR (3,146,060 for, 0 against).
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| Vanguard | 28,600 | 0 | 1,334,358 | 0 | Abstain |
| Royce | 909,435 | 0 | 0 | 0 | For |
| OBERWEIS FUNDS | 849,615 | 0 | 0 | 0 | For |
| Columbia Threadneedle | 0 | 0 | 832,863 | 0 | Abstain |
| DRIEHAUS MUTUAL FUNDS | 586,254 | 0 | 0 | 0 | For |
| FINANCIAL INVESTORS TRUST | 0 | 0 | 219,396 | 0 | Abstain |
| American Century | 186,610 | 0 | 0 | 0 | For |
| Fidelity | 170,155 | 0 | 0 | 0 | For |
| RBB FUND, INC. | 119,806 | 0 | 0 | 0 | For |
| Dimensional | 0 | 0 | 92,897 | 0 | Abstain |
| TRUST FOR PROFESSIONAL MANAGERS | 85,794 | 0 | 0 | 0 | For |
| Principal | 0 | 0 | 83,550 | 0 | Abstain |
| BlackRock | 58,955 | 0 | 0 | 0 | For |
| Voya | 39,220 | 0 | 0 | 0 | For |
| Brinker Capital Destinations Trust | 27,771 | 0 | 0 | 0 | For |
| Charles Schwab | 18,315 | 0 | 0 | 0 | For |
| State Street | 28 | 0 | 16,240 | 0 | Abstain |
| Equitable | 13,531 | 0 | 1,039 | 0 | For |
| Prudential/PGIM | 9,580 | 0 | 1,785 | 0 | For |
| ADVISORS' INNER CIRCLE FUND | 10,100 | 0 | 0 | 0 | For |
| Northern Trust | 8,255 | 0 | 0 | 0 | For |
| Manager Directed Portfolios | 7,599 | 0 | 0 | 0 | For |
| Victory Capital | 4,694 | 0 | 0 | 0 | For |
| Monteagle Funds | 3,950 | 0 | 0 | 0 | For |
| Lincoln Financial | 0 | 0 | 3,768 | 0 | Abstain |
Showing the 25 largest of 33 asset managers. See all 33 in the interactive database.
Meeting held 2023-09-07; no official results are on file for this meeting.
100% fund support · no official result
The 13 asset managers below cast 100% of the shares they voted on this item FOR (2,327,469 for, 0 against).
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| Columbia Threadneedle | 1,146,645 | 0 | 0 | 0 | For |
| Royce | 926,288 | 0 | 0 | 0 | For |
| Fidelity | 90,222 | 0 | 0 | 0 | For |
| Vanguard | 56,383 | 0 | 0 | 0 | For |
| Legg Mason | 34,741 | 0 | 0 | 0 | For |
| American Century | 22,030 | 0 | 0 | 0 | For |
| BlackRock | 17,798 | 0 | 0 | 0 | For |
| BRIDGEWAY FUNDS INC | 17,506 | 0 | 0 | 0 | For |
| Northern Trust | 8,255 | 0 | 0 | 0 | For |
| Lincoln Financial | 3,768 | 0 | 0 | 0 | For |
| AIG/SunAmerica | 3,163 | 0 | 0 | 0 | For |
| Equitable | 626 | 0 | 0 | 0 | For |
| Victory Capital | 44 | 0 | 0 | 0 | For |
Meeting held 2023-09-07; no official results are on file for this meeting.
100% fund support · no official result
The 13 asset managers below cast 100% of the shares they voted on this item FOR (2,327,469 for, 0 against).
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| Columbia Threadneedle | 1,146,645 | 0 | 0 | 0 | For |
| Royce | 926,288 | 0 | 0 | 0 | For |
| Fidelity | 90,222 | 0 | 0 | 0 | For |
| Vanguard | 56,383 | 0 | 0 | 0 | For |
| Legg Mason | 34,741 | 0 | 0 | 0 | For |
| American Century | 22,030 | 0 | 0 | 0 | For |
| BlackRock | 17,798 | 0 | 0 | 0 | For |
| BRIDGEWAY FUNDS INC | 17,506 | 0 | 0 | 0 | For |
| Northern Trust | 8,255 | 0 | 0 | 0 | For |
| Lincoln Financial | 3,768 | 0 | 0 | 0 | For |
| AIG/SunAmerica | 3,163 | 0 | 0 | 0 | For |
| Equitable | 626 | 0 | 0 | 0 | For |
| Victory Capital | 44 | 0 | 0 | 0 | For |
Meeting held 2023-09-07; no official results are on file for this meeting.
Combines 2 wordings of this item as funds reported it.
100% fund support · no official result
The 6 asset managers below cast 100% of the shares they voted on this item FOR (130,463 for, 0 against).
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| Gabelli | 115,000 | 0 | 0 | 0 | For |
| Equitable | 11,555 | 0 | 0 | 0 | For |
| Allianz | 2,196 | 0 | 0 | 0 | For |
| Jackson National | 659 | 0 | 0 | 0 | For |
| Charles Schwab | 529 | 0 | 0 | 0 | For |
| John Hancock | 524 | 0 | 0 | 0 | For |
Meeting held 2023-09-07; no official results are on file for this meeting.
100% fund support · no official result
The 3 asset managers below cast 100% of the shares they voted on this item FOR (3,379 for, 0 against).
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| Allianz | 2,196 | 0 | 0 | 0 | For |
| Jackson National | 659 | 0 | 0 | 0 | For |
| John Hancock | 524 | 0 | 0 | 0 | For |
Meeting held 2023-09-07; no official results are on file for this meeting.
Combines 2 wordings of this item as funds reported it.
100% fund support · no official result
The 3 asset managers below cast 100% of the shares they voted on this item FOR (127,084 for, 0 against).
| Asset manager | For | Against | Abstain | Withheld | Vote |
|---|---|---|---|---|---|
| Gabelli | 115,000 | 0 | 0 | 0 | For |
| Equitable | 11,555 | 0 | 0 | 0 | For |
| Charles Schwab | 529 | 0 | 0 | 0 | For |
Ranked by the number of APPLIED OPTOELECTRONICS INC. shares each manager voted on the most widely held ballot item of the 2023-2024 meeting, shown as a share of the 38,907,933 shares outstanding at the time of that meeting.
| # | Asset manager | % of shares outstanding |
|---|---|---|
| 1 | DRIEHAUS CAPITAL MANAGEMENT LLC | 4.51% |
| 2 | Vanguard | 3.59% |
| 3 | Royce | 3.00% |
| 4 | OBERWEIS ASSET MANAGEMENT INC/ | 2.18% |
| 5 | OBERWEIS FUNDS | 2.18% |
| 6 | Columbia Threadneedle | 2.14% |
| 7 | Point72 | 1.92% |
| 8 | Portolan Capital Management, LLC | 1.71% |
| 9 | DRIEHAUS MUTUAL FUNDS | 1.51% |
| 10 | KENNEDY CAPITAL MANAGEMENT LLC | 1.12% |
Positions disclosed to the SEC on Schedules 13D and 13G, Form 13F and the company’s own proxy statement (DEF 14A).
| 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 2024-05-06 (see the filing on EDGAR). This is the count contemporaneous with the 2023-2024 meeting, so the percentages are the ones that were true then, not ones restated against today’s share count.
Every figure above is derived from filings made with the US Securities and Exchange Commission: Form N-PX, in which registered investment companies and institutional managers disclose how they voted every proxy, 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 2024-05-06. This page is a static snapshot rebuilt weekly on 02 October 2026; a live search always shows the current data.
At APPLIED OPTOELECTRONICS INC.'s 2 shareholder meetings in the 2023-2024 proxy season (held 2023-09-07 and 2024-06-06), 102 asset managers reported how they voted in their SEC Form N-PX filings, covering 806 separate fund positions. Their filings are grouped here into 12 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 2024-06-06 — 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 2024-06-07.
APPLIED OPTOELECTRONICS INC. proxy season coverage: 2023-2024 (this page) · 2024-2025 · 2025-2026.