Liang Yifan's Form 4 filing
Alpha & Omega Semiconductor Ltd (AOSL) · filed Mar 13, 2024
- Accession no.
- 0001387467-24-000033
- Filed
- Mar 13, 2024
- Trade date
- Mar 11-13, 2024
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Checked
This filing lists 6 non-derivative transactions and 3 derivative transactions. Open-market sales total $1.63M. 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 |
|---|---|
| Liang YifanCIK 0001522325 | Officer (CFO and Corp Secretary) |
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 11, 2024 | Common Shares | MOption exerciseAcquired | +30,000 | $7.44 | +$223,200 | 323,296 | Direct | |
| Mar 11, 2024 | Common Shares | SSaleDisposed | −30,000 | $23.60F4 | −$708,000 | 293,296 | Direct | |
| Mar 12, 2024 | Common Shares | MOption exerciseAcquired | +20,000 | $7.44 | +$148,800 | 313,296 | Direct | |
| Mar 12, 2024 | Common Shares | SSaleDisposed | −20,000 | $23.31F5 | −$466,200 | 293,296 | Direct | |
| Mar 13, 2024 | Common Shares | MOption exerciseAcquired | +20,000 | $7.44 | +$148,800 | 313,296 | Direct | |
| Mar 13, 2024 | Common Shares | SSaleDisposed | −20,000 | $22.67F6 | −$453,400 | 293,296 | 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 11, 2024 | Common Share | MOption exerciseDisposed | −30,000 | $0.00 | $0 | 40,000 | Direct | |
| Mar 12, 2024 | Common Share | MOption exerciseDisposed | −20,000 | $0.00 | $0 | 20,000 | Direct | |
| Mar 13, 2024 | Common Share | MOption exerciseDisposed | −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.
- F4
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.4050 to $24.0100, 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.
- F5
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.0800 to $23.6400, 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.
- F6
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.3700 to $23.3100, 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.