Lu Keh Shew's Form 4 filing
Diodes Inc (DIOD) · filed Aug 2, 2021
- Accession no.
- 0001209191-21-049105
- Filed
- Aug 2, 2021
- Trade date
- Jul 29-Aug 2, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 15 non-derivative transactions and 3 derivative transactions. Open-market sales total $6.28M. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Lu Keh ShewCIK 0001196531 | Director, Officer (President & CEO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 29, 2021 | Diodes Incorporated Common Stock | MOption exerciseAcquired | +5,000 | $27.92 | +$139,600 | 390,538 | Direct | |
| Jul 29, 2021 | Diodes Incorporated Common Stock | SSaleDisposed | −4,300 | $80.00 | −$344,000 | 386,238 | Direct | |
| Jul 29, 2021 | Diodes Incorporated Common Stock | SSaleDisposed | −2,700 | $80.37F3 | −$216,999 | 383,538 | Direct | |
| Jul 30, 2021 | Diodes Incorporated Common Stock | MOption exerciseAcquired | +15,000 | $27.92 | +$418,800 | 398,538 | Direct | |
| Jul 30, 2021 | Diodes Incorporated Common Stock | SSaleDisposed | −4,300 | $80.50 | −$346,150 | 394,238 | Direct | |
| Jul 30, 2021 | Diodes Incorporated Common Stock | SSaleDisposed | −4,300 | $81.00 | −$348,300 | 389,938 | Direct | |
| Jul 30, 2021 | Diodes Incorporated Common Stock | SSaleDisposed | −4,300 | $81.51 | −$350,493 | 385,638 | Direct | |
| Jul 30, 2021 | Diodes Incorporated Common Stock | SSaleDisposed | −16,800 | $81.39F4 | −$1,367,352 | 368,838 | Direct | |
| Aug 2, 2021 | Diodes Incorporated Common Stock | MOption exerciseAcquired | +25,000 | $27.92 | +$698,000 | 393,838 | Direct | |
| Aug 2, 2021 | Diodes Incorporated Common Stock | SSaleDisposed | −4,300 | $83.18 | −$357,674 | 389,538 | Direct | |
| Aug 2, 2021 | Diodes Incorporated Common Stock | SSaleDisposed | −4,300 | $83.19 | −$357,717 | 385,238 | Direct | |
| Aug 2, 2021 | Diodes Incorporated Common Stock | SSaleDisposed | −4,300 | $83.00 | −$356,900 | 380,938 | Direct | |
| Aug 2, 2021 | Diodes Incorporated Common Stock | SSaleDisposed | −4,300 | $83.50 | −$359,050 | 376,638 | Direct | |
| Aug 2, 2021 | Diodes Incorporated Common Stock | SSaleDisposed | −4,300 | $84.00 | −$361,200 | 372,338 | Direct | |
| Aug 2, 2021 | Diodes Incorporated Common Stock | SSaleDisposed | −18,200 | $83.24F5 | −$1,514,968 | 354,138 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 29, 2021 | Diodes Incorporated Common Stock - Diodes | MOption exerciseDisposed | −5,000 | $0.00 | $0 | 75,000 | Direct | |
| Jul 30, 2021 | Diodes Incorporated Common Stock - Diodes | MOption exerciseDisposed | −15,000 | $0.00 | $0 | 60,000 | Direct | |
| Aug 2, 2021 | Diodes Incorporated Common Stock - Diodes | MOption exerciseDisposed | −25,000 | $0.00 | $0 | 35,000 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F3
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.30 to $80.47, inclusive. The reporting person undertakes to provide to Diodes Incorporated, any security holder of Diodes Incorporated, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F4
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.62 to $82.02, inclusive. The reporting person undertakes to provide to Diodes Incorporated, any security holder of Diodes Incorporated, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.
Referenced by the price of 1 transaction in Table I.
- F5
The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $82.50 to $83.80, inclusive. The reporting person undertakes to provide to Diodes Incorporated, any security holder of Diodes Incorporated, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (5) to this Form 4.
Referenced by the price of 1 transaction in Table I.