Lu Keh Shew's Form 4/A amendment
AmendedDiodes Inc (DIOD) · filed Feb 28, 2023
- Accession no.
- 0001209191-23-013829
- Filed
- Feb 28, 2023
- Trade date
- Feb 8, 2023
- Filing delay
- 20 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Feb 9, 2023
This filing lists 2 non-derivative transactions. It carries over 2 transactions from the original filing that it did not restate. Open-market sales total $288.6K. It was filed 20 days after the trade.
This amendment restates part of 0001209191-23-008077 (filed Feb 9, 2023). The transactions it did not restate still count and are listed below.
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 |
|---|---|---|---|---|---|---|---|---|
| Feb 8, 2023 | Diodes Incorporated Common Stock - Performance Stock Units | AGrant or awardAcquired | +53,100 | $0.00 | $0 | 337,684 | Direct | |
| Feb 8, 2023 | Diodes Incorporated Common Stock - Performance Stock Units | FTax withholdingDisposed | −41,790 | $93.64 | −$3,913,215.6 | 295,894 | Direct |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001209191-23-008077 (filed Feb 9, 2023).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 7, 2023 | Diodes Incorporated Common Stock | SSaleDisposed | −1,000 | $96.00 | −$96,000 | 128,988 | Indirect | |
| Feb 9, 2023 | Diodes Incorporated Common Stock | SSaleDisposed | −2,000 | $96.30 | −$192,600 | 126,988 | Indirect |
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.
- F1
The Target Performance was achieved and the 2020 PSU Award was vested at 200%.
- F2
The original Form 4, filed on February 9, 2023, is being amended by this Form 4 amendment to correct the number of shares awarded for achieving 200% performance. As a result of the correction, the number of shares beneficially owned by the reporting person following the corrected transaction reflects an decrease of 10 shares.
- F3
These performance stock unit shares were automatically withheld to cover income tax on the vested 2020 performance award
- F4
The Form 4 filed on 2/27/2023 reflects the corrected amount of Diodes Incorporated Common Stock Performance Stock Units beneficially owned.