SEC Form 4 · accession 0001209191-17-034207
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 19, 2017
Accepted (ET)
May 22, 2017 · 12:49 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 19, 2017 | M | 13,842 | $24.66 | A | 1,080,636 | D | |
| Diodes Incorporated Common Stock | May 19, 2017 | S | 13,503 | $26.00 | D | 1,067,133 | D | |
| Diodes Incorporated Common Stock | holding | — | — | — | 90,400 | I | Revocable Trust | |
| Diodes Incorporated Common Stock | holding | — | — | — | 476,783 | I | Lu Grandchildren's Trust | |
| Diodes Incorporated Common Stock - Performance Stock Units | holding | — | — | — | 62,905 | D | ||
| Diodes Incorporated Common StockF1 | holding | — | — | — | 46,150 | I | Custodial |
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 NQSOF2 | $24.66 | May 19, 2017 | M | 13,842 | D | May 31, 2008 | May 31, 2017 | Diodes Incorporated Common Stock - Diodes | 13,842 | 67,158 | D |
Explanation of responses
- F1These 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.
- F2Non-qualified stock options exercisable in four equal annual installments beginning 05/31/2008.