Ho Yueh-Se's Form 4 filing
Alpha & Omega Semiconductor Ltd (AOSL) · filed Nov 8, 2021
- Accession no.
- 0001387467-21-000082
- Filed
- Nov 8, 2021
- Trade date
- Nov 5, 2021
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $2.07M. It was filed 3 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 |
|---|---|
| Ho Yueh-SeCIK 0001522313 | Director |
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 |
|---|---|---|---|---|---|---|---|---|
| Nov 5, 2021 | Common Shares | SSaleDisposed | −31,742 | $40.00F2 | −$1,269,680 | 189,583 | Direct | |
| Nov 5, 2021 | Common Shares | MOption exerciseAcquired | +20,000 | $7.44 | +$148,800 | 209,583 | Direct | |
| Nov 5, 2021 | Common Shares | SSaleDisposed | −20,000 | $40.00F2 | −$800,000 | 189,583 | 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 5, 2021 | Common Share | MOption exerciseAcquired | +20,000 | $0.00 | $0 | 0 | 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.
- F2
The price reported in Column 4 is the exact price at which all shares were sold.
Referenced by the price of 2 transactions in Table I.