SEC Form 4 · accession 0001209191-17-056490
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
Oct 5, 2017
Accepted (ET)
Oct 10, 2017 · 5:22 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 5, 2017 | M | 20,000 | $27.95 | A | 1,042,937 | D | |
| Diodes Incorporated Common Stock | Oct 5, 2017 | S | 19,622 | $30.98 | D | 1,023,315 | D | |
| Diodes Incorporated Common Stock | Oct 5, 2017 | S | 5,103 | $31.00 | D | 1,018,212 | D | |
| Diodes Incorporated Common Stock | Oct 10, 2017 | S | 4,897 | $31.10 | D | 1,013,315 | D | |
| Diodes Incorporated Common Stock | Oct 10, 2017 | S | 10,000 | $31.50 | D | 1,003,315 | D | |
| Diodes Incorporated Common Stock | Oct 10, 2017 | M | 31,000 | $27.95 | A | 1,034,315 | D | |
| Diodes Incorporated Common Stock | Oct 10, 2017 | S | 4,897 | $31.30 | D | 1,029,418 | D | |
| Diodes Incorporated Common Stock | Oct 10, 2017 | S | 25,464 | $31.28 | D | 1,003,954 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 05/29/2008 DIOD NQSOF4 | $27.95 | Oct 5, 2017 | M | 20,000 | D | May 29, 2009 | May 29, 2018 | Diodes Incorporated Common Stock - Diodes | 20,000 | 31,000 | D |
| 05/29/2008 DIOD NQSOF4 | $27.95 | Oct 10, 2017 | M | 31,000 | D | May 29, 2009 | May 29, 2018 | Diodes Incorporated Common Stock - Diodes | 31,000 | 0 | D |
Explanation of responses
- F1Exercised under a 10b5-1 plan.
- F2Sold under a 10b5-1 plan.
- 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 05/29/2009.