Form 4 for AOSL ALPHA & OMEGA SEMICONDUCTOR Ltd
Accepted 2024-03-13 00:00:00 ET · period of report 2024-03-11 · accession 0001387467-24-000033 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2024-03-13 | 2024-03-11+ | AOSL | Liang Yifan | CFO, Corp Sec | M - OptEx | $7.44 | +70.0K | 323.3K | +28% | +$520.8K |
| DM | 2024-03-13 | 2024-03-11+ | AOSL | Liang Yifan | CFO, Corp Sec | S - Sale+OE | $23.25 | -70.0K | 293.3K | -19% | -$1.63M |
| DM | 2024-03-13 | 2024-03-11+ | AOSL | Liang Yifan | CFO, Corp Sec | M - OptEx | $0.00 | -70.0K | 20.0K | -78% | $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 | 2024-03-13 | M | A | 20,000 | $7.44 | 313,296 | D | — | — | (F1) Includes an aggregate of 47,500 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 21,455 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. (F2) Includes 10,158 unvested shares subject to the PSU granted on March 15, 2022 which are subject to vesting upon satisfaction of service-based vesting conditions by the Reporting Person. |
| 2 | Common | Common Shares | 2024-03-13 | S | D | 20,000 | $22.67 | 293,296 | D | — | — | (F3) The sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 24, 2023. (F6) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.3700 to $23.3100, inclusive. The Reporting Person undertakes to provide to Alpha and Omega Semiconductor Limited, any security holder of Alpha and Omega Semiconductor Limited, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. (F1) Includes an aggregate of 47,500 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 21,455 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. (F2) Includes 10,158 unvested shares subject to the PSU granted on March 15, 2022 which are subject to vesting upon satisfaction of service-based vesting conditions by the Reporting Person. |
| 3 | Common | Common Shares | 2024-03-12 | S | D | 20,000 | $23.31 | 293,296 | D | — | — | (F3) The sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 24, 2023. (F5) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.0800 to $23.6400, inclusive. The Reporting Person undertakes to provide to Alpha and Omega Semiconductor Limited, any security holder of Alpha and Omega Semiconductor Limited, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. (F1) Includes an aggregate of 47,500 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 21,455 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. (F2) Includes 10,158 unvested shares subject to the PSU granted on March 15, 2022 which are subject to vesting upon satisfaction of service-based vesting conditions by the Reporting Person. |
| 4 | Common | Common Shares | 2024-03-12 | M | A | 20,000 | $7.44 | 313,296 | D | — | — | (F1) Includes an aggregate of 47,500 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 21,455 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. (F2) Includes 10,158 unvested shares subject to the PSU granted on March 15, 2022 which are subject to vesting upon satisfaction of service-based vesting conditions by the Reporting Person. |
| 5 | Common | Common Shares | 2024-03-11 | S | D | 30,000 | $23.60 | 293,296 | D | — | — | (F3) The sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 24, 2023. (F4) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.4050 to $24.0100, inclusive. The Reporting Person undertakes to provide to Alpha and Omega Semiconductor Limited, any security holder of Alpha and Omega Semiconductor Limited, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. (F1) Includes an aggregate of 47,500 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 21,455 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. (F2) Includes 10,158 unvested shares subject to the PSU granted on March 15, 2022 which are subject to vesting upon satisfaction of service-based vesting conditions by the Reporting Person. |
| 6 | Common | Common Shares | 2024-03-11 | M | A | 30,000 | $7.44 | 323,296 | D | — | — | (F1) Includes an aggregate of 47,500 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 21,455 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. (F2) Includes 10,158 unvested shares subject to the PSU granted on March 15, 2022 which are subject to vesting upon satisfaction of service-based vesting conditions by the Reporting Person. |
| 7 | Derivative | Employee Share Option (right to buy) | 2024-03-11 | M | D | 30,000 | $0.00 | 40,000 | D | $7.44 · — to 2024-03-16 | 30,000 Common Share | (F7) The option is fully vested and immediately exercisable for all option shares. |
| 8 | Derivative | Employee Share Option (right to buy) | 2024-03-13 | M | D | 20,000 | $0.00 | 0 | D | $7.44 · — to 2024-03-16 | 20,000 Common Share | (F7) The option is fully vested and immediately exercisable for all option shares. |
| 9 | Derivative | Employee Share Option (right to buy) | 2024-03-12 | M | D | 20,000 | $0.00 | 20,000 | D | $7.44 · — to 2024-03-16 | 20,000 Common Share | (F7) The option is fully vested and immediately exercisable for all option shares. |