SEC Form 4 · accession 0001209191-16-124441
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
May 26, 2016
Accepted (ET)
May 31, 2016 · 5:47 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 StockF1,F2 | May 26, 2016 | A | 110,000 | $0.00 | A | 1,731,720 | D | |
| Diodes Incorporated Common Stock | May 27, 2016 | S | 18,564 | $17.95 | D | 1,713,156 | D | |
| Diodes Incorporated Common Stock | May 27, 2016 | S | 400 | $18.9775 | D | 1,712,756 | D | |
| Diodes Incorporated Common Stock | May 27, 2016 | S | 734 | $18.9718 | D | 1,712,022 | D | |
| Diodes Incorporated Common Stock | May 27, 2016 | S | 38 | $19.06 | D | 1,711,984 | D | |
| Diodes Incorporated Common StockF4 | holding | — | — | — | 46,150 | I | Custodial | |
| Diodes Incorporated Common Stock | holding | — | — | — | 90,400 | I | Revocable Trust | |
| Diodes Incorporated Common Stock | holding | — | — | — | 476,783 | I | Lu Grandchildren's Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted stock units vest in four equal installments beginning 05/26/2017.
- F2Granted under Rule 16b-3 Plan.
- F3Vested restricted stock unit shares automatically sold to cover income tax for the 05/21/2012, 5/27/2014, and 5/26/2015 awards.
- F4These 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.