SEC Form 4 · accession 0001387467-18-000104
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 20, 2018
Accepted (ET)
Dec 21, 2018 · 6:19 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 SharesF1,F2,F3 | Dec 20, 2018 | P | 8,700 | $9.9848 | A | 4,212,428 | D | |
| Common SharesF1,F4,F3 | Dec 21, 2018 | P | 22,618 | $9.8371 | A | 4,235,046 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The purchases were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 5, 2018.
- F2The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.94 to $10.00, 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 purchased at each separate price within such range.
- F3Includes an aggregate of 449,246 shares subject to restricted share unit awards granted on March 16, 2015, March 15, 2016, March 15, 2017, March 15, 2018, and July 1, 2018, which will be issued as such units vest in accordance with their terms.
- F4The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.67 to $10.00, 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 purchased at each separate price within such range.