Chang Mike F's Form 4 filing
Alpha & Omega Semiconductor Ltd (AOSL) · filed Mar 17, 2022
- Accession no.
- 0001387467-22-000032
- Filed
- Mar 17, 2022
- Trade date
- Mar 15-17, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 7 non-derivative transactions and 1 derivative transaction. Open-market sales total $3.10M. It was filed 2 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 |
|---|---|
| Chang Mike FCIK 0001511393 | Director, Officer (Chief Executive Officer), 10% Owner |
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 |
|---|---|---|---|---|---|---|---|---|
| Mar 15, 2022 | Common Shares | AGrant or awardAcquired | +70,000 | $0.00 | $0 | 4,353,826 | Direct | |
| Mar 15, 2022 | Common Shares | FTax withholdingDisposed | −29,208 | $48.65 | −$1,420,969.2 | 4,324,618 | Direct | |
| Mar 15, 2022 | Common Shares | FTax withholdingDisposed | −24,908 | $48.65 | −$1,211,774.2 | 4,299,710 | Direct | |
| Mar 15, 2022 | Common Shares | AGrant or awardAcquired | +22,500 | $0.00 | $0 | 4,322,210 | Direct | |
| Mar 15, 2022 | Common Shares | AGrant or awardAcquired | +70,000 | $0.00 | $0 | 4,392,210 | Direct | |
| Mar 17, 2022 | Common Shares | MOption exerciseAcquired | +56,400 | $9.90 | +$558,360 | 4,448,610 | Direct | |
| Mar 17, 2022 | Common Shares | SSaleDisposed | −56,400 | $55.00F9 | −$3,102,000 | 4,392,210 | 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 17, 2022 | Common Share | MOption exerciseDisposed | −56,400 | $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.
- F9
The price reported in Column 4 is the exact price at which all shares were sold.
Referenced by the price of 1 transaction in Table I.