SEC Form 4 · accession 0001209191-17-032127
DIODES INC /DEL/ · DIOD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Francis Tang
Officer — VP,Worldwide Discrete Products
Period of report
May 10, 2017
Accepted (ET)
May 12, 2017 · 6:12 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 | May 10, 2017 | M | 6,750 | $24.66 | A | 76,577 | D | |
| Diodes Incorporated Common Stock | May 10, 2017 | S | 2,222 | $26.00 | D | 74,355 | D | |
| Diodes Incorporated Common Stock | May 10, 2017 | S | 2,212 | $26.50 | D | 72,143 | D | |
| Diodes Incorporated Common Stock | May 10, 2017 | S | 2,205 | $27.00 | D | 69,938 | D | |
| Diodes Incorporated Common StockF3 | holding | — | — | — | 1,200 | I | By Son | |
| Diodes Incorporated Common Stock - Performance Stock Units | holding | — | — | — | 18,214 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 5/31/2007 DIOD NQSOF4 | $24.66 | May 10, 2017 | M | 6,750 | D | May 31, 2008 | May 31, 2017 | Diodes Incorporated Common Stock - Diodes | 6,750 | 2,250 | D |
Explanation of responses
- F1Exercise pursuant to previously filed 10b5-1 Plan.
- F2Sale pursuant to previously filed 10b5-1 Plan.
- F3These shares, which consist of restricted stock units, were granted to the reporting persons son, who shares the reporting persons household and is an employee of Diodes Incorporated. The reporting person disclaims beneficial ownership of the shares held by his son, and this report should not be deemed an admission that the reporting person is the beneficial owner of his sons shares for purposes of Section 16 or for any other purpose.
- F4Non-qualified stock options exercisable in four equal annual installments beginning 05/31/2008.