SEC Form 4 · accession 0001209191-17-060652
DIODES INC /DEL/ · DIOD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark A King
Officer — SVP Sales & Marketing
Period of report
Nov 10, 2017
Accepted (ET)
Nov 14, 2017 · 5:06 pm EST
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 | Nov 10, 2017 | M | 9,289 | $27.95 | A | 89,177 | D | |
| Diodes Incorporated Common StockF1 | Nov 10, 2017 | S | 9,289 | $31.841 | D | 79,888 | D | |
| Diodes Incorporated Common Stock | Nov 13, 2017 | M | 880 | $27.95 | A | 80,768 | D | |
| Diodes Incorporated Common Stock | Nov 13, 2017 | S | 580 | $31.40 | D | 80,188 | D | |
| Diodes Incorporated Common Stock | Nov 13, 2017 | S | 300 | $31.20 | D | 79,888 | D | |
| Diodes Incorporated Common Stock - Performance Stock Units | holding | — | — | — | 20,332 | 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 NQSOF2 | $27.95 | Nov 10, 2017 | M | 9,289 | D | May 29, 2009 | May 29, 2018 | Diodes Incorporated Common Stock - Diodes | 9,289 | 15,711 | D |
| 05/29/2008 DIOD NQSOF2 | $27.95 | Nov 13, 2017 | M | 880 | D | May 29, 2009 | May 29, 2018 | Diodes Incorporated Common Stock - Diodes | 880 | 14,831 | D |
Explanation of responses
- F1The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.80 to $31.94, 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.
- F2Restricted stock units vest in four equal installments beginning 05/29/2009.