0001387467-21-000031.txt : 20210317 0001387467-21-000031.hdr.sgml : 20210317 20210317161337 ACCESSION NUMBER: 0001387467-21-000031 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210225 FILED AS OF DATE: 20210317 DATE AS OF CHANGE: 20210317 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Chang Mike F CENTRAL INDEX KEY: 0001511393 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34717 FILM NUMBER: 21750698 MAIL ADDRESS: STREET 1: 475 OAKMEAD PARKWAY CITY: SUNNYVALE STATE: CA ZIP: 94085 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ALPHA & OMEGA SEMICONDUCTOR Ltd CENTRAL INDEX KEY: 0001387467 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 000000000 FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 475 OAKMEAD PARKWAY CITY: SUNNYVALE STATE: CA ZIP: 94085 BUSINESS PHONE: 408-830-9742 MAIL ADDRESS: STREET 1: 475 OAKMEAD PARKWAY CITY: SUNNYVALE STATE: CA ZIP: 94085 FORMER COMPANY: FORMER CONFORMED NAME: ALPHA & OMEGA SEMICONDUCTOR LTD DATE OF NAME CHANGE: 20070123 4 1 wf-form4_161601199448983.xml FORM 4 X0306 4 2021-02-25 0 0001387467 ALPHA & OMEGA SEMICONDUCTOR Ltd AOSL 0001511393 Chang Mike F 475 OAKMEAD PARKWAY SUNNYVALE CA 94085 1 1 1 0 Chief Executive Officer Common Shares 2021-03-15 4 A 0 70000 0 A 4283597 D Common Shares 2021-03-15 4 F 0 29208 36.27 D 4254389 D Common Shares 2021-03-15 4 F 0 22238 36.27 D 4232151 D Common Shares 2021-03-15 4 A 0 14175 0 A 4246326 D Common Shares 2021-03-15 4 A 0 22500 0 A 4268826 D Common Shares 2021-02-25 4 A 0 70000 0 A 4338826 D The RSU shall vest in equal annual installments over four (4) years from March 15, 2021, provided that the Reporting Person remains in the Issuer's service through each such vesting date. Includes an aggregate of 160,000 shares subject to Restricted Share Unit awards (RSU) granted on March 15, 2018, March 15, 2019, March 16, 2020, and March 15, 2021 which will be issued as such units vest in accordance with their terms, and excludes (a) 70,000 unvested common shares subject to the PSU granted on March 15, 2021, which may become vested upon achievement of certain corporate performance goals in the future and (b) 22,500 unvested common shares subject to the 2018 PSU which may be vested upon satisfaction of service-based vesting conditions by the Reporting Person. Shares withheld to satisfy the Issuer's tax withholding obligation upon the vesting of restricted share units (RSU) granted on March 15, 2017, March 15, 2018, March 15, 2019, and March 16, 2020. Shares withheld to satisfy the Issuer's tax withholding obligation upon the vesting of Performance Share Units (PSU) granted on March 15, 2017, March 15, 2018, and March 16, 2020. Represents the issuance of common shares upon vesting of one-fourth (1/4) of performance share units ("PSU") granted on March 15, 2017. The achievement of specified performance goals for such PSU was certified previously by the Compensation Committee on March 15, 2018, and the issuance common shares thereunder are subject to additional service-based vesting conditions in four equal annual installment commencing in March 2018. Represents the issuance of common shares upon vesting of one-fourth (1/4) of PSU granted on March 15, 2018. The achievement of specified performance goals for such PSU was certified previously by the Compensation Committee on February 27, 2019, and the issuance common shares thereunder are subject to additional service-based vesting conditions in four equal annual installment commencing in March 2019. Represents the vesting of PSU granted on March 16, 2020 upon the achievement of specified performance goals as certified previously by the Compensation Committee on February 25, 2021 and the issuance common shares thereunder are subject to additional service-based vesting conditions in four equal annual installment commencing in March 2021. Includes 52,500 unvested common shares subject to the 2020 PSU granted on March 16, 2020 which may be vested upon satisfaction of service-based vesting conditions by the Reporting Person. /s/ Yanbing Hong, attorney-in-fact for Mike F. Chang 2021-03-17