Filing Details
- Accession Number:
- 0001209191-21-049998
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-08-05 17:18:12
- Reporting Period:
- 2021-08-03
- Accepted Time:
- 2021-08-05 17:18:12
- 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 |
|---|---|---|---|---|---|---|---|
| 1196531 | Shew Keh Lu | 4949 Hedgcoxe Road Suite 200 Plano TX 75024 | President & Ceo | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Diodes Incorporated Common Stock | Acquisiton | 2021-08-03 | 5,000 | $27.92 | 359,138 | No | 4 | M | Direct | |
| Diodes Incorporated Common Stock | Disposition | 2021-08-03 | 4,300 | $84.50 | 354,838 | No | 4 | S | Direct | |
| Diodes Incorporated Common Stock | Acquisiton | 2021-08-04 | 15,000 | $27.92 | 369,838 | No | 4 | M | Direct | |
| Diodes Incorporated Common Stock | Disposition | 2021-08-04 | 4,300 | $85.00 | 365,538 | No | 4 | S | Direct | |
| Diodes Incorporated Common Stock | Disposition | 2021-08-04 | 4,300 | $85.50 | 361,238 | No | 4 | S | Direct | |
| Diodes Incorporated Common Stock | Disposition | 2021-08-04 | 4,300 | $86.00 | 356,938 | No | 4 | S | Direct | |
| Diodes Incorporated Common Stock | Acquisiton | 2021-08-05 | 15,000 | $27.92 | 371,938 | No | 4 | M | Direct | |
| Diodes Incorporated Common Stock | Disposition | 2021-08-05 | 4,300 | $86.72 | 367,638 | No | 4 | S | Direct | |
| Diodes Incorporated Common Stock | Disposition | 2021-08-05 | 4,300 | $87.00 | 363,338 | No | 4 | S | Direct | |
| Diodes Incorporated Common Stock | Disposition | 2021-08-05 | 4,300 | $87.50 | 359,038 | 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 | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Diodes Incorporated Common Stock - Diodes | 05/27/14 DIOD NQSO | Disposition | 2021-08-03 | 5,000 | $0.00 | 5,000 | $27.92 |
| Diodes Incorporated Common Stock - Diodes | 05/27/14 DIOD NQSO | Disposition | 2021-08-04 | 15,000 | $0.00 | 15,000 | $27.92 |
| Diodes Incorporated Common Stock - Diodes | 05/27/14 DIOD NQSO | Disposition | 2021-08-05 | 15,000 | $0.00 | 15,000 | $27.92 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 30,000 | 2015-05-26 | 2022-05-27 | No | 4 | M | Direct |
| 15,000 | 2015-05-26 | 2022-05-27 | No | 4 | M | Direct |
| 0 | 2015-05-26 | 2022-05-27 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Diodes Incorporated Common Stock - Performance Stock Units | 220,519 | Direct | |
| Diodes Incorporated Common Stock | 4,700 | Indirect | The Lu 2017 Irrevocable Trust |
| Diodes Incorporated Common Stock | 55,655 | Indirect | The Lu Family Foundation |
| Diodes Incorporated Common Stock | 421,671 | Indirect | Lu Grandchildren's Trust |
| Diodes Incorporated Common Stock | 46,150 | Indirect | Custodial |
Footnotes
- Exercised under a 10b5-1 plan.
- Sold under a 10b5-1 plan.
- These shares are held in accounts for the reporting persons minor grandchildren and the reporting person is the custodian of those accounts. The reporting person disclaims ownership of the shares held in those custodial accounts, and this report is not an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purposes.
Billionaire Hedge Funds
