SEC Form 4 · accession 0001209191-17-036550
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, 2017
Accepted (ET)
May 31, 2017 · 5:28 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 26, 2017 | M | 67,158 | $24.66 | A | 1,134,291 | D | |
| Diodes Incorporated Common StockF1 | May 26, 2017 | S | 26,207 | $26.4828 | D | 1,108,084 | D | |
| Diodes Incorporated Common Stock | May 26, 2017 | S | 9,757 | $26.00 | D | 1,098,327 | D | |
| Diodes Incorporated Common Stock | May 26, 2017 | S | 9,736 | $26.08 | D | 1,088,591 | D | |
| Diodes Incorporated Common Stock | May 26, 2017 | S | 9,720 | $26.14 | D | 1,078,871 | D | |
| Diodes Incorporated Common Stock | May 26, 2017 | S | 9,693 | $26.24 | D | 1,069,178 | D | |
| Diodes Incorporated Common Stock | May 30, 2017 | S | 28,543 | $25.8915 | D | 1,040,635 | D | |
| Diodes Incorporated Common Stock | May 30, 2017 | S | 21 | $25.705 | D | 1,040,614 | D | |
| Diodes Incorporated Common Stock | May 30, 2017 | S | 43 | $25.6978 | D | 1,040,571 | D | |
| Diodes Incorporated Common Stock | May 30, 2017 | S | 45 | $25.6967 | D | 1,040,526 | D | |
| Diodes Incorporated Common StockF3 | 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 | |
| Diodes Incorporated Common Stock - Performance Stock Units | holding | — | — | — | 62,905 | 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 26, 2017 | M | 67,158 | D | May 31, 2008 | May 31, 2017 | Diodes Incorporated Common Stock - Diodes | 67,158 | 0 | D |
Explanation of responses
- F1The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.40 to $26.78, inclusive. The reporting person undertakes to provide to Diodes Incorporated, any security holder of Diodes Incorporated, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.
- F2Vested restricted stock unit shares automatically sold to cover income tax for the 5/27/2014, 5/26/2015, and 5/26/2016 awards.
- 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 four equal annual installments beginning 05/31/2008.