SEC Form 4 · accession 0001209191-19-010574
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
Feb 13, 2019
Accepted (ET)
Feb 15, 2019 · 4:15 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 | Feb 13, 2019 | M | 16,000 | $19.28 | A | 598,762 | D | |
| Diodes Incorporated Common Stock | Feb 13, 2019 | S | 7,221 | $37.21 | D | 591,541 | D | |
| Diodes Incorporated Common Stock | Feb 13, 2019 | S | 7,214 | $37.53 | D | 584,327 | D | |
| Diodes Incorporated Common Stock | Feb 14, 2019 | M | 68,000 | $19.28 | A | 652,327 | D | |
| Diodes Incorporated Common Stock | Feb 14, 2019 | S | 7,208 | $37.80 | D | 645,119 | D | |
| Diodes Incorporated Common Stock | Feb 14, 2019 | S | 7,199 | $38.20 | D | 637,920 | D | |
| Diodes Incorporated Common Stock | Feb 14, 2019 | S | 7,193 | $38.50 | D | 630,727 | D | |
| Diodes Incorporated Common Stock | Feb 14, 2019 | S | 7,186 | $38.8024 | D | 623,541 | D | |
| Diodes Incorporated Common Stock | Feb 14, 2019 | S | 7,178 | $39.25 | D | 616,363 | D | |
| Diodes Incorporated Common Stock | Feb 14, 2019 | S | 7,172 | $39.50 | D | 609,191 | D | |
| Diodes Incorporated Common Stock | Feb 14, 2019 | S | 7,166 | $39.80 | D | 602,025 | D | |
| Diodes Incorporated Common Stock | Feb 14, 2019 | S | 7,158 | $40.20 | D | 594,867 | D | |
| Diodes Incorporated Common Stock | Feb 14, 2019 | S | 3,576 | $40.53 | D | 591,291 | D | |
| Diodes Incorporated Common Stock | Feb 14, 2019 | F | 5,399 | $40.63 | D | 585,892 | D | |
| Diodes Incorporated Common StockF4 | holding | — | — | — | 46,150 | I | Custodial | |
| Diodes Incorporated Common Stock | holding | — | — | — | 700,000 | I | Lu Grandchildren's Trust | |
| Diodes Incorporated Common Stock - Performance Stock Units | holding | — | — | — | 125,905 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 05/24/2010 DIOD NQSOF5 | $19.28 | Feb 13, 2019 | M | 16,000 | D | May 24, 2011 | May 24, 2020 | Diodes Incorporated Common Stock - Diodes | 16,000 | 68,000 | D |
| 05/24/2010 DIOD NQSOF5 | $19.28 | Feb 14, 2019 | M | 68,000 | D | May 24, 2011 | May 24, 2020 | Diodes Incorporated Common Stock - Diodes | 68,000 | 0 | D |
Explanation of responses
- F1Exercised under a 10b5-1 plan.
- F2Sold under a 10b5-1 plan.
- F3Vested restricted stock unit shares were automatically withheld to cover income tax.
- F4These 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.
- F5Non-qualified stock options exercisable in four equal annual installments beginning 05/24/2011.