Form 4 for AOSL ALPHA & OMEGA SEMICONDUCTOR Ltd
Accepted 2021-11-02 00:00:00 ET · period of report 2021-11-01 · accession 0001387467-21-000075 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2021-11-02 | 2021-11-01 | AOSL | Liang Yifan | CFO, Corp Sec | M - OptEx | $9.90 | +6,600 | 159.4K | +4% | +$65.3K |
| D | 2021-11-02 | 2021-11-01 | AOSL | Liang Yifan | CFO, Corp Sec | S - Sale+OE | $35.90 | -6,600 | 153.5K | -4% | -$236.9K |
| D | 2021-11-02 | 2021-11-01 | AOSL | Liang Yifan | CFO, Corp Sec | M - OptEx | $0.00 | -6,600 | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Shares | 2021-11-01 | M | A | 6,600 | $9.90 | 159,413 | D | — | — | (F3) Includes 13,125 unvested common shares subject to the 2020 PSU granted on March 16, 2020 which may be vested upon satisfaction of service-based vesting conditions by the Reporting Person. (F2) Reflects 662 shares acquired under the Issuer's Employee Stock Purchase Plan on May 14, 2021. (F1) Includes an aggregate of 40,375 shares subject to Restricted Share Unit awards (RSU) granted on March 15, 2018, March 15, 2019, March 16, 2020, and March 15, 2021 which will be issued as such units vest in accordance with their terms, and excludes (a) 17,500 unvested common shares subject to the PSU granted on March 15, 2021, which may become vested upon achievement of certain corporate performance goals in the future and (b) 5,500 unvested common shares subject to the 2018 PSU which may be vested upon satisfaction of service-based vesting conditions by the Reporting Person. |
| 2 | Common | Common Shares | 2021-11-01 | S | D | 6,600 | $35.90 | 153,475 | D | — | — | (F4) The sales were effected pursuant to a Rule 10b5-1 trading plan adopted previously by the Reporting Person. (F5) The price reported in Column 4 is the exact price at which all shares were sold. (F3) Includes 13,125 unvested common shares subject to the 2020 PSU granted on March 16, 2020 which may be vested upon satisfaction of service-based vesting conditions by the Reporting Person. (F2) Reflects 662 shares acquired under the Issuer's Employee Stock Purchase Plan on May 14, 2021. (F1) Includes an aggregate of 40,375 shares subject to Restricted Share Unit awards (RSU) granted on March 15, 2018, March 15, 2019, March 16, 2020, and March 15, 2021 which will be issued as such units vest in accordance with their terms, and excludes (a) 17,500 unvested common shares subject to the PSU granted on March 15, 2021, which may become vested upon achievement of certain corporate performance goals in the future and (b) 5,500 unvested common shares subject to the 2018 PSU which may be vested upon satisfaction of service-based vesting conditions by the Reporting Person. |
| 3 | Derivative | Employee Share Option (right to buy) | 2021-11-01 | M | D | 6,600 | $0.00 | 0 | D | $9.90 · — to 2022-04-25 | 6,600 Common Share | (F6) All options are fully vested and exercisable. |