SEC Form 4 · accession 0001209191-15-027592
DIODES INC /DEL/ · DIOD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Keh Shew Lu
Officer — President & CEO · Director
Period of report
Mar 16, 2015
Accepted (ET)
Mar 18, 2015 · 6:09 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000029002
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Diodes Incorporated Common Stock | Mar 16, 2015 | M | 30,000 | $11.5333 | A | 852,692 | D | |
| Diodes Incorporated Common Stock | Mar 16, 2015 | S | 26,000 | $29.75 | D | 826,692 | D | |
| Diodes Incorporated Common Stock | Mar 17, 2015 | M | 13,125 | $11.5333 | A | 839,817 | D | |
| Diodes Incorporated Common Stock | Mar 17, 2015 | S | 9,784 | $29.75 | D | 830,033 | D | |
| Diodes Incorporated Common StockF3 | holding | — | — | — | 33,550 | I | Custodial | |
| Diodes Incorporated Common Stock | holding | — | — | — | 103,000 | I | Revocable Trust | |
| Diodes Incorporated Common Stock | holding | — | — | — | 476,783 | I | Lu Grandchildren's Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 4/14/05 DIOD NQSOF4 | $11.5333 | Mar 16, 2015 | M | 30,000 | D | Apr 14, 2006 | Apr 14, 2015 | Diodes Incorporated Common Stock - Diodes | 30,000 | 88,125 | D |
| 4/14/05 DIOD NQSOF4 | $11.5333 | Mar 17, 2015 | M | 13,125 | D | Apr 14, 2006 | Apr 14, 2015 | Diodes Incorporated Common Stock - Diodes | 13,125 | 75,000 | D |
Explanation of responses
- F1Exercise pursuant to previously filed 10b5-1 Plan.
- F2Sale pursuant to previously filed 10b5-1 Plan.
- F3These shares are held in accounts for the reporting persons minor grandchildren and the reporting person is the custodian of those accounts. The reporting person disclaims ownership of the shares held in those custodial accounts, and this report is not an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purposes.
- F4Non-qualified stock options exercisable in three equal annual installments beginning 04/14/2006.