SEC Form 4 · accession 0001387467-19-000019
ALPHA & OMEGA SEMICONDUCTOR Ltd · AOSL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Yueh-Se Ho
Officer — Chief Operating Officer · Director
Period of report
Feb 27, 2019
Accepted (ET)
Mar 1, 2019 · 8:58 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 | Feb 27, 2019 | A | 11,582 | $0.00 | A | 290,477 | D | |
| Common SharesF3,F2 | Feb 27, 2019 | F | 4,425 | $10.91 | D | 286,052 | D | |
| Common SharesF4,F2,F5 | Feb 27, 2019 | A | 2,813 | $0.00 | A | 288,865 | D | |
| Common SharesF6,F2,F7 | Feb 27, 2019 | A | 5,500 | $0.00 | A | 294,365 | 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 February 27, 2019 as part of the bonus payment upon achievement of certain corporate performance goals under the Issuer's Amended and Restated 2018 Executive Incentive Plan, dated November 15, 2018.
- F2Includes an aggregate of 39,243 shares subject to Restricted Share Unit (RSU) awards granted on March 16, 2015, March 15, 2016, March 15, 2017, and March 15, 2018, which will be issued as such units vest in accordance with their terms.
- F3Shares withheld to satisfy the Issuer's tax withholding obligations upon the issuance of the Bonus Shares described above.
- F4Represent common shares subject to PSU granted on March 15, 2017 ("2017 PSU") that will become vested on March 15, 2019 upon approval and certification on February 27, 2019 by the Compensation Committee that the performance goals under such PSU were satisfied.
- F5Excludes 5,625 unvested common shares subject to the 2017 PSU which may become vested upon achievement of certain corporate performance goals in the future. Previously, the unvested common shares subject to 2017 PSU have been disclosed in Table II of Form 4 and is now being reported in Table I of this Form 4.
- F6Represent 5,500 common shares subject to PSU granted on March 15, 2018 ("2018 PSU") that will become vested on March 15, 2019 upon approval and certification on February 27, 2019 by the Compensation Committee that the performance goals under such PSU were satisfied.
- F7Excludes 16,500 unvested common shares subject to the 2018 PSU which may become vested upon achievement of certain corporate performance goals in the future. Previously, the unvested common shares subject to 2018 PSU have been disclosed in Table II of Form 4 and is now being reported in Table I of this Form 4.