SEC Form 4 · accession 0001209191-18-043790
DIODES INC /DEL/ · DIOD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Francis Tang
Officer — VP,Worldwide Discrete Products
Period of report
Jul 24, 2018
Accepted (ET)
Jul 24, 2018 · 6:15 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 | Jul 24, 2018 | M | 5,000 | $29.21 | A | 86,293 | D | |
| Diodes Incorporated Common Stock | Jul 24, 2018 | S | 4,696 | $38.54 | D | 81,597 | D | |
| Diodes Incorporated Common StockF3 | holding | — | — | — | 1,180 | I | By Son | |
| Diodes Incorporated Common Stock - Performance Stock Units | holding | — | — | — | 36,214 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 05/26/11 DIOD NQSOF4 | $29.21 | Jul 24, 2018 | M | 5,000 | D | May 26, 2012 | May 26, 2021 | Diodes Incorporated Common Stock - Diodes | 5,000 | 7,000 | D |
Explanation of responses
- F1Exercised under a 10b5-1 plan.
- F2Sold under a 10b5-1 plan.
- F3These shares, which consist of restricted stock units, were granted to the reporting persons son, who shares the reporting persons household and is an employee of Diodes Incorporated. The reporting person disclaims beneficial ownership of the shares held by his son, and this report should not be deemed an admission that the reporting person is the beneficial owner of his sons shares for purposes of Section 16 or for any other purpose.
- F4Non-qualified stock options exercisable in four equal annual installments beginning 05/26/2012.