SEC Form 4 · accession 0001209191-17-055781
DIODES INC /DEL/ · DIOD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Clemente Beltran
Officer — Vice President
Period of report
Oct 2, 2017
Accepted (ET)
Oct 4, 2017 · 4:14 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 | Oct 2, 2017 | M | 12,000 | $21.83 | A | 37,775 | D | |
| Diodes Incorporated Common Stock | Oct 2, 2017 | S | 11,208 | $30.00 | D | 26,567 | D | |
| Diodes Incorporated Common Stock | Oct 2, 2017 | M | 6,000 | $19.27 | A | 32,567 | D | |
| Diodes Incorporated Common Stock | Oct 2, 2017 | S | 5,480 | $30.00 | D | 27,087 | D | |
| Diodes Incorporated Common StockF3 | Oct 2, 2017 | S | 1,000 | $30.00 | D | 11,613 | I | Owned By Spouse |
| Diodes Incorporated Common Stock - Performance Stock Units | holding | — | — | — | 3,797 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 01/03/12 DIOD NQSOF4 | $21.83 | Oct 2, 2017 | M | 12,000 | D | Jan 1, 2013 | Jan 3, 2022 | Diodes Incorporated Common Stock - Diodes | 12,000 | 0 | D |
| 05/21/12 DIOD NQSOF5 | $19.27 | Oct 2, 2017 | M | 6,000 | D | May 26, 2013 | May 21, 2022 | Diodes Incorporated Common Stock - Diodes | 6,000 | 0 | D |
Explanation of responses
- F1Exercised under a 10b5-1 plan.
- F2Sold under a 10b5-1 plan.
- F3The amount of securities beneficially owned includes both restricted stock units and common stock.
- F4Non-qualified stock options exercisable in four equal annual installments beginning 1/1/2013.
- F5Non-qualified stock options exercisable in four equal annual installments beginning 05/26/2013.