Statement of Changes in Beneficial Ownership (4)
November 29 2016 - 06:45PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Chang Daniel Kuang Ming
|
2. Issuer Name
and
Ticker or Trading Symbol
ALPHA & OMEGA SEMICONDUCTOR Ltd
[
AOSL
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Senior VP of Marketing
|
(Last)
(First)
(Middle)
475 OAKMEAD PARKWAY
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/25/2016
|
(Street)
SUNNYVALE, CA 94085
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Share
|
11/25/2016
|
|
M
|
|
3080
|
A
|
$14.14
|
43398
(1)
|
D
|
|
Common Share
|
11/25/2016
|
|
S
|
|
3080
(2)
|
D
|
$22.90
(3)
|
40318
(1)
|
D
|
|
Common Share
|
11/28/2016
|
|
M
|
|
1329
|
A
|
$14.14
|
41647
(1)
|
D
|
|
Common Share
|
11/28/2016
|
|
S
|
|
1329
(2)
|
D
|
$22.90
(3)
|
40318
(1)
|
D
|
|
Common Share
|
11/28/2016
|
|
M
|
|
1312
|
A
|
$8.45
|
41630
(1)
|
D
|
|
Common Share
|
11/28/2016
|
|
S
|
|
1312
(2)
|
D
|
$22.90
(3)
|
40318
(1)
|
D
|
|
Common Share
|
11/28/2016
|
|
M
|
|
4375
|
A
|
$7.44
|
44693
(1)
|
D
|
|
Common Share
|
11/28/2016
|
|
S
|
|
4375
(2)
|
D
|
$22.90
(3)
|
40318
(1)
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Employee Share Option (right to buy)
|
$14.14
|
11/25/2016
|
|
M
|
|
|
3080
|
(4)
|
6/27/2020
|
Common Shares
|
3080.0
|
$0
|
11329
|
D
|
|
Employee Share Option (right to buy)
|
$14.14
|
11/28/2016
|
|
M
|
|
|
1329
|
(4)
|
6/27/2020
|
Common Shares
|
1329.0
|
$0
|
10000
|
D
|
|
Employee Share Option (right to buy)
|
$8.45
|
11/28/2016
|
|
M
|
|
|
1312
|
(5)
|
2/13/2023
|
Common Shares
|
1312.0
|
$0
|
1313
|
D
|
|
Employee Share Option (right to buy)
|
$7.44
|
11/28/2016
|
|
M
|
|
|
4375
|
(6)
|
3/16/2024
|
Common Shares
|
4375.0
|
$0
|
13855
|
D
|
|
Explanation of Responses:
|
(
1)
|
Includes an aggregate of 38,617 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.
|
(
2)
|
The sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on Sep 14, 2016.
|
(
3)
|
The price reported in Column 4 is the exact price at which all shares were sold.
|
(
4)
|
The option is fully vested and immediately exercisable for all option shares.
|
(
5)
|
The option was granted on February 14, 2013 and becomes exercisable with respect to one-fourth (1/4) of the underlying shares on February 14, 2014, and thereafter the balance of the option shares become exercisable in a series of thirty-six (36) successive equal monthly installments.
|
(
6)
|
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.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Chang Daniel Kuang Ming
475 OAKMEAD PARKWAY
SUNNYVALE, CA 94085
|
|
|
Senior VP of Marketing
|
|
Signatures
|
/s/ Yanbing Hong, attorney-in-fact for Daniel Kuang Ming Chang
|
|
11/29/2016
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Alpha and Omega Semicond... (NASDAQ:AOSL)
Historical Stock Chart
From Feb 2024 to Mar 2024
Alpha and Omega Semicond... (NASDAQ:AOSL)
Historical Stock Chart
From Mar 2023 to Mar 2024