SEC Form 4 · accession 0001387467-16-000251
ALPHA & OMEGA SEMICONDUCTOR Ltd · AOSL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert I Chen
Director
Period of report
Dec 9, 2016
Accepted (ET)
Dec 13, 2016 · 6:49 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 | Dec 9, 2016 | M | 7,500 | $7.56 | A | 23,635 | D | |
| Common SharesF2,F3,F1 | Dec 9, 2016 | S | 7,500 | $21.00 | D | 16,135 | D | |
| Common SharesF2,F3,F1 | Dec 9, 2016 | S | 2,000 | $22.00 | D | 14,135 | D | |
| Common SharesF2,F3,F1 | Dec 9, 2016 | S | 3,850 | $23.00 | D | 10,285 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Share Option (right to buy)F4 | $7.56 | Dec 9, 2016 | M | 7,500 | D | — | Nov 10, 2023 | Common Share | 7,500 | 0 | D |
Explanation of responses
- F1Includes 4,513 shares subject to restricted share unit awards granted on November 9, 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 Nov 8, 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.
Remarks
Exhibit list: Exhibit 24 Power of Attorney