Filing Details
- Accession Number:
- 0001387467-16-000209
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-09-23 17:40:24
- Reporting Period:
- 2016-09-21
- Filing Date:
- 2016-09-23
- Accepted Time:
- 2016-09-23 17:40:24
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1387467 | Alpha & Omega Semiconductor Ltd | AOSL | Semiconductors & Related Devices (3674) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1522313 | Yueh-Se Ho | 475 Oakmead Parkway Sunnyvale CA 94085 | Chief Operating Officer | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Shares | Acquisiton | 2016-09-21 | 26,971 | $7.44 | 364,411 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2016-09-21 | 26,971 | $20.65 | 337,440 | No | 4 | S | Direct | |
| Common Shares | Acquisiton | 2016-09-21 | 10,000 | $18.00 | 347,440 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2016-09-21 | 10,000 | $20.65 | 337,440 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Share | Employee Share Option (right to buy) | Disposition | 2016-09-21 | 26,971 | $0.00 | 26,971 | $7.44 |
| Common Shares | Employee Share Option (right to buy) | Disposition | 2016-09-21 | 10,000 | $0.00 | 10,000 | $18.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 31,667 | 2024-03-16 | No | 4 | M | Direct | |
| 0 | 2020-04-27 | No | 4 | M | Direct |
Footnotes
- Includes an aggregate of 45,119 shares subject to restricted share unit awards granted on February 14, 2013, March 17, 2014, March 16, 2015, and March 15, 2016, which will be issued as such units vest in accordance with their terms.
- The sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on Aug 19, 2016.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.30 to $20.85, 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.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.34 to $20.87, 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.
- The option was granted on March 17, 2014 and becomes exercisable with respect to one-fourth (1/4) of the underlying shares on March 15, 2015, and thereafter the balance of the option shares become exercisable in a series of thirty-six (36) successive equal monthly installments.
- The option is fully vested and immediately exercisable for all option shares.
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