SEC Form 4 · accession 0001209191-19-011141
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
Feb 14, 2019
Accepted (ET)
Feb 19, 2019 · 4:58 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 14, 2019 | M | 17,000 | $19.28 | A | 99,037 | D | |
| Diodes Incorporated Common Stock | Feb 14, 2019 | S | 4,355 | $39.51 | D | 94,682 | D | |
| Diodes Incorporated Common Stock | Feb 14, 2019 | S | 4,347 | $40.00 | D | 90,335 | D | |
| Diodes Incorporated Common Stock | Feb 14, 2019 | S | 6,065 | $41.00 | D | 84,270 | D | |
| Diodes Incorporated Common Stock | Feb 15, 2019 | S | 4,500 | $40.91 | D | 79,770 | D | |
| Diodes Incorporated Common StockF4 | holding | — | — | — | 2,580 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 05/24/2010 DIOD NQSOF5 | $19.28 | Feb 14, 2019 | M | 17,000 | D | May 24, 2011 | May 24, 2020 | Diodes Incorporated Common Stock - Diodes | 17,000 | 0 | D |
Explanation of responses
- F1Exercised under a 10b5-1 plan.
- F2Sold under a 10b5-1 plan.
- F3A portion of the vested restricted stock unit shares was automatically sold to cover income tax.
- F4These 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.
- F5Non-qualified stock options exercisable in four equal annual installments beginning 05/24/2011.