SEC Form 4 · accession 0001387467-16-000253
ALPHA & OMEGA SEMICONDUCTOR Ltd · AOSL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mike F Chang
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Dec 12, 2016
Accepted (ET)
Dec 14, 2016 · 6:38 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 21, 2016 | G | 10,000 | $0.00 | D | 4,039,715 | D | |
| Common SharesF2,F3,F1 | Dec 12, 2016 | S | 25,883 | $22.186 | D | 4,013,832 | D | |
| Common SharesF2,F4,F1 | Dec 13, 2016 | S | 24,117 | $22.1031 | D | 3,989,715 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes an aggregate of 79,375 shares subject to RSU 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 8, 2016.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.0000 to $22.8300, 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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.0000 to $22.2500, 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.