SEC Form 4 · accession 0001387467-16-000244
ALPHA & OMEGA SEMICONDUCTOR Ltd · AOSL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Kuang Ming Chang
Officer — Senior VP of Marketing
Period of report
Nov 23, 2016
Accepted (ET)
Nov 28, 2016 · 8:19 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 ShareF1 | Nov 23, 2016 | M | 1,860 | $14.14 | A | 42,178 | D | |
| Common ShareF2,F3,F1 | Nov 23, 2016 | S | 1,860 | $22.90 | D | 40,318 | 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 | $14.14 | Nov 23, 2016 | M | 1,860 | D | — | Jun 27, 2020 | Common Shares | 1,860 | 14,409 | D |
Explanation of responses
- F1Includes an aggregate of 38,617 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 Sep 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.