Filing Details
- Accession Number:
- 0001387467-23-000102
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-12-29 16:28:37
- Reporting Period:
- 2023-12-28
- Accepted Time:
- 2023-12-29 16:28:37
- 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 |
|---|---|---|---|---|---|---|---|
| 1511393 | F Mike Chang | 475 Oakmead Parkway Sunnyvale CA 94085 | Executive Chairman | Yes | Yes | Yes | 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 | 2023-12-28 | 30,000 | $7.44 | 4,367,591 | No | 4 | M | Direct | |
| Common Shares | Disposition | 2023-12-28 | 30,000 | $26.53 | 4,337,591 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2023-12-28 | 30,000 | $0.00 | 30,000 | $7.44 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 30,000 | 2024-03-16 | No | 4 | M | Direct |
Footnotes
- Includes 40,635 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 .
- 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.
- The sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 26, 2023.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.0500 to $26.6650, 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 is fully vested and immediately exercisable for all option shares.
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