SEC Form 4 · accession 0001387467-15-000123
ALPHA & OMEGA SEMICONDUCTOR Ltd · AOSL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Yifan Liang
Officer — CFO and Corp Secretary
Period of report
Nov 19, 2015
Accepted (ET)
Nov 23, 2015 · 4:01 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 | Nov 19, 2015 | M | 4,500 | $6.40 | A | 45,780 | D | |
| Common SharesF2,F3,F1 | Nov 19, 2015 | S | 4,500 | $9.50 | D | 41,280 | D | |
| Common SharesF1 | Nov 20, 2015 | M | 4,944 | $6.40 | A | 46,224 | D | |
| Common SharesF2,F3,F1 | Nov 20, 2015 | S | 4,944 | $9.50 | D | 41,280 | 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 | $6.40 | Nov 19, 2015 | M | 4,500 | D | — | Jan 30, 2016 | Common Shares | 4,500 | 4,944 | D |
| Employee Share Option (right to buy)F4 | $6.40 | Nov 20, 2015 | M | 4,944 | D | — | Jan 30, 2016 | Common Shares | 4,944 | 0 | D |
Explanation of responses
- F1Includes (i) an aggregate of 32,698 shares subject to restricted share unit awards granted on April 26, 2012, February 14, 2013, March 17, 2014, August 15, 2014, and March 16, 2015, which will be issued as such units vest in accordance with their terms and (ii) 875 shares acquired under the Issuer's Employee Share Purchase Plan on November 14, 2015.
- F2The sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 29, 2015.
- F3The price reported in Column 4 is an exact price at which all shares were sold.
- F4The option is fully vested and immediately exercisable for all option shares.