SEC Form 4 · accession 0001387467-17-000065
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
Oct 9, 2017
Accepted (ET)
Oct 11, 2017 · 1:37 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 ShareF1,F2,F3,F4 | Oct 9, 2017 | S | 3,588 | $17.1892 | D | 43,914 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on Sep 8, 2017.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.1601 to $17.3200, 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.
- F3Includes an aggregate of 38,838 shares subject to restricted share unit awards granted on March 17, 2014, March 16, 2015, March 15, 2016, and March 15, 2017, which will be issued as such units vest in accordance with their terms.
- F4Reflects 852 shares acquired under the Issuer's Employee Stock Purchase Plan on May 15, 2017.