0001387467-23-000099.txt : 20231218 0001387467-23-000099.hdr.sgml : 20231218 20231218160202 ACCESSION NUMBER: 0001387467-23-000099 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231214 FILED AS OF DATE: 20231218 DATE AS OF CHANGE: 20231218 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Chang Mike F CENTRAL INDEX KEY: 0001511393 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34717 FILM NUMBER: 231493668 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] ORGANIZATION NAME: 04 Manufacturing 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 wk-form4_1702933308.xml FORM 4 X0508 4 2023-12-14 0 0001387467 ALPHA & OMEGA SEMICONDUCTOR Ltd AOSL 0001511393 Chang Mike F 475 OAKMEAD PARKWAY SUNNYVALE CA 94085 1 1 1 0 Executive Chairman 1 Common Shares 2023-12-14 4 M 0 30000 7.44 A 4367591 D Common Shares 2023-12-14 4 S 0 30000 25 D 4337591 D Employee Share Option (right to buy) 7.44 2023-12-14 4 M 0 30000 0 D 2024-03-16 Common Share 30000 60000 D 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 $25.00 to $25.02, 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. /s/ Yanbing Hong, attorney-in-fact for Mike F. Chang 2023-12-18