SEC Form 4 · accession 0001387467-18-000013
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
Mar 12, 2018
Accepted (ET)
Mar 14, 2018 · 6:09 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 | Mar 12, 2018 | A | 10,212 | $0.00 | A | 51,542 | D | |
| Common ShareF4,F2,F3 | Mar 12, 2018 | F | 3,972 | $16.73 | D | 47,570 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represent fully vested common shares ("Bonus Shares") granted by the compensation committee of the Board of Directors of the issuer on March 12, 2018 as part of the bonus payment upon achievement of certain corporate performance goals under the Issuer's Amended and Restated 2017 Executive Incentive Plan, dated November 15, 2017.
- F2Includes an aggregate of 38,838 shares subject to RSU 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.
- F3Reflects 814 shares acquired under the Issuer's Employee Stock Purchase Plan on November 14, 2017.
- F4Shares withheld to satisfy the Issuer's tax withholding obligations upon the issuance of the Bonus Shares described above.