Chang Mike F's Form 4 filing
Alpha & Omega Semiconductor Ltd (AOSL) · filed Sep 27, 2023
- Accession no.
- 0001387467-23-000064
- Filed
- Sep 27, 2023
- Trade date
- Sep 26, 2023
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Checked
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $859.2K. It was filed 1 day 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 (Executive Chairman), 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 26, 2023 | Common Shares | MOption exerciseAcquired | +30,000 | $7.44 | +$223,200 | 4,367,591 | Direct | |
| Sep 26, 2023 | Common Shares | SSaleDisposed | −30,000 | $28.64F4 | −$859,200 | 4,337,591 | 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 26, 2023 | Common Share | MOption exerciseDisposed | −30,000 | $0.00 | $0 | 120,000 | 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.
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.40 to $29.21, 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.
Referenced by the price of 1 transaction in Table I.