SEC Form 4 · accession 0001387467-15-000002
ALPHA & OMEGA SEMICONDUCTOR Ltd · AOSL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tony Grizelj
Officer — VP of Power Discrete Product
Period of report
Jan 13, 2015
Accepted (ET)
Jan 14, 2015 · 6:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001387467
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1 | Jan 13, 2015 | M | 4,500 | $2.00 | A | 13,689 | D | |
| Common SharesF2,F3,F1 | Jan 13, 2015 | S | 4,500 | $9.179 | D | 9,189 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Share Option (right to buy)F4 | $2.00 | Jan 13, 2015 | M | 4,500 | D | — | Apr 14, 2015 | Common Shares | 4,500 | 13,500 | D |
Explanation of responses
- F1Includes 7,028 shares subject to a restricted stock unit awards granted that will be issued as those units vest.
- F2These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 13, 2013.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.76 to $9.59, inclusive. The Reporting Person undertakes to provide to Alpha and Omega Semiconductor Limited, any security holder of Alpha and Omega Semiconductor Limited, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.
- F4The option is fully vested and immediately exercisable for all option shares.