Form 4 for AOSL ALPHA & OMEGA SEMICONDUCTOR Ltd
Accepted 2023-09-05 00:00:00 ET · period of report 2023-09-01 · accession 0001387467-23-000051 · 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 | 2023-09-05 | 2023-09-01 | AOSL | Chang Mike F | Executive COB, Dir, 10% | S - Sale+OE | $31.01 | -30.0K | 4.39M | -0.7% | -$930.3K |
| D | 2023-09-05 | 2023-09-01 | AOSL | Chang Mike F | Executive COB, Dir, 10% | M - OptEx | $7.44 | +30.0K | 4.42M | +0.7% | +$223.2K |
| D | 2023-09-05 | 2023-09-01 | AOSL | Chang Mike F | Executive COB, Dir, 10% | M - OptEx | $0.00 | -30.0K | 150.0K | -17% | $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 | 2023-09-01 | S | D | 30,000 | $31.01 | 4,387,591 | D | — | — | (F3) The sales were effected pursuant to a Rule 10b5-1 trading plan adopted previously by the Reporting Person. (F4) The price reported in Column 4 is the exact price at which all shares were sold. (F1) Includes 40,635 unvested shares subject to the PSU granted on March 15, 2022, 35,000 unvested shares subject to the PSU granted on March 15, 2021, and 17,500 unvested shares subject to the PSU granted on March 16, 2020 which are subject to vesting upon satisfaction of service-based vesting conditions by the Reporting Person. (F2) Includes an aggregate of 142,500 shares subject to Restricted Share Unit awards (RSU) granted on March 16, 2020, March 15, 2021, March 15, 2022, and March 15, 2023 which will be issued as such units vest in accordance with their terms, and excludes 53,320 unvested common shares subject to the PSU granted on March 15, 2023, which may become vested upon achievement of certain corporate performance goals in the future. |
| 2 | Common | Common Shares | 2023-09-01 | M | A | 30,000 | $7.44 | 4,417,591 | D | — | — | (F1) Includes 40,635 unvested shares subject to the PSU granted on March 15, 2022, 35,000 unvested shares subject to the PSU granted on March 15, 2021, and 17,500 unvested shares subject to the PSU granted on March 16, 2020 which are subject to vesting upon satisfaction of service-based vesting conditions by the Reporting Person. (F2) Includes an aggregate of 142,500 shares subject to Restricted Share Unit awards (RSU) granted on March 16, 2020, March 15, 2021, March 15, 2022, and March 15, 2023 which will be issued as such units vest in accordance with their terms, and excludes 53,320 unvested common shares subject to the PSU granted on March 15, 2023, which may become vested upon achievement of certain corporate performance goals in the future. |
| 3 | Derivative | Employee Share Option (right to buy) | 2023-09-01 | M | D | 30,000 | $0.00 | 150,000 | D | $7.44 · — to 2024-03-16 | 30,000 Common Share | (F5) The option is fully vested and immediately exercisable for all option shares. |