SEC Form 4 · accession 0001387467-16-000195
ALPHA & OMEGA SEMICONDUCTOR Ltd · AOSL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Yueh-Se Ho
Officer — Chief Operating Officer · Director
Period of report
Aug 10, 2016
Accepted (ET)
Aug 12, 2016 · 6:25 pm EDT
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 | Aug 10, 2016 | M | 500 | $11.00 | A | 338,198 | D | |
| Common SharesF2,F3,F1 | Aug 10, 2016 | S | 500 | $15.00 | D | 337,698 | D | |
| Common SharesF1 | Aug 11, 2016 | M | 47,500 | $11.00 | A | 385,198 | D | |
| Common SharesF2,F3,F1 | Aug 11, 2016 | S | 47,500 | $15.55 | D | 337,698 | D | |
| Common SharesF1 | Aug 11, 2016 | M | 23,341 | $11.00 | A | 361,039 | D | |
| Common SharesF2,F3,F1 | Aug 11, 2016 | S | 23,341 | $15.55 | D | 337,698 | D | |
| Common SharesF1 | Aug 11, 2016 | M | 3,659 | $11.00 | A | 341,357 | D | |
| Common SharesF2,F3,F1 | Aug 11, 2016 | S | 3,659 | $15.55 | D | 337,698 | 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 | $11.00 | Aug 10, 2016 | M | 500 | D | — | Jul 12, 2017 | Common Shares | 500 | 47,500 | D |
| Employee Share Option (right to buy)F4 | $11.00 | Aug 11, 2016 | M | 47,500 | D | — | Jul 12, 2017 | Common Shares | 47,500 | 0 | D |
| Employee Share Option (right to buy)F4 | $11.00 | Aug 11, 2016 | M | 23,341 | D | — | Jul 12, 2017 | Common Share | 23,341 | 0 | D |
| Employee Share Option (right to buy)F4 | $11.00 | Aug 11, 2016 | M | 3,659 | D | — | Jul 12, 2017 | Common Shares | 3,659 | 0 | D |
Explanation of responses
- F1Includes an aggregate of 45,119 shares subject to restricted share unit awards granted on February 14, 2013, March 17, 2014, March 16, 2015, and March 15, 2016, which will be issued as such units vest in accordance with their terms.
- F2The sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 14, 2016.
- F3The price reported in Column 4 is the exact price at which all shares were sold.
- F4The option is fully vested and immediately exercisable for all option shares.