Filing Details
- Accession Number:
- 0001209191-17-014030
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-23 18:55:46
- Reporting Period:
- 2017-02-17
- Filing Date:
- 2017-02-23
- Accepted Time:
- 2017-02-23 18:55:46
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 29002 | Diodes Inc L | DIOD | Semiconductors & Related Devices (3674) | 952039518 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1196530 | A Mark King | 4949 Hedgcoxe Road Suite 200 Plano TX 75024 | Svp Sales & Marketing | No | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Diodes Incorporated Common Stock | Acquisiton | 2017-02-17 | 42,000 | $15.05 | 110,770 | No | 4 | M | Direct | |
| Diodes Incorporated Common Stock | Disposition | 2017-02-17 | 42,000 | $25.65 | 68,770 | No | 4 | S | Direct | |
| Diodes Incorporated Common Stock | Acquisiton | 2017-02-21 | 20,332 | $0.00 | 89,102 | No | 4 | A | Direct | |
| Diodes Incorporated Common Stock - Performance Stock Units | Acquisiton | 2017-02-21 | 20,332 | $0.00 | 20,332 | No | 4 | A | Direct | |
| Diodes Incorporated Common Stock | Acquisiton | 2017-02-23 | 3,000 | $15.05 | 92,102 | No | 4 | M | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | A | Direct | |
| No | 4 | A | Direct | |
| No | 4 | M | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Diodes Incorporated Common Stock - Diodes | 05/28/09 DIOD NQSO | Disposition | 2017-02-17 | 42,000 | $0.00 | 42,000 | $15.05 |
| Diodes Incorporated Common Stock - Diodes | 05/28/09 DIOD NQSO | Disposition | 2017-02-23 | 3,000 | $0.00 | 3,000 | $15.05 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 3,000 | 2010-05-28 | 2019-05-28 | No | 4 | M | Direct |
| 0 | 2010-05-28 | 2019-05-28 | No | 4 | M | Direct |
Footnotes
- The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.51 to $25.76, inclusive. The reporting person undertakes to provide to Diodes Incorporated, any security holder of Diodes Incorporated, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.
- Restricted stock units vest in four equal installments beginning 02/21/2018.
- Granted under Rule 16b-3 Plan.
- Each PSU represents a contingent right granted under the companys 2013 Equity Incentive Plan, a Rule 16b-3 Plan, to receive 1 share of Diodes Incorporated Common Stock.
- The PSUs vest in February 2020 upon the achievement of the 3-year financial performance measure of cumulative non-GAAP operating income for 2017 through 2019 of $204.6 million (Target Performance).
- This number represents the target number of PSUs (Target Award) that will vest if the Target Performance is achieved. There is a threshold that provides for payment of 50% of the Target Award upon 80% achievement of the Target Performance and a maximum that provides for payment of 200% of the Target Award upon 120% achievement of the Target Performances. Between 80% and 100% and between 100% and 120% achievement of Target Performance, the Target Award will be decreased or increased on a pro rata basis, with no payout below 80% achievement and payout limited to 200% of the Target Award if the Target Performance exceeds 120%.
- Non-qualified stock options exercisable in four equal annual installments beginning 05/28/2010.
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