FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 01/26/2012 |
3. Issuer Name and Ticker or Trading Symbol
ALPHA & OMEGA SEMICONDUCTOR Ltd [ AOSL ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Shares | 1,750 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Share Option (right to buy) | (1) | 04/14/2015 | Common Shares | 72,000 | $2 | D | |
Employee Share Option (right to buy) | (2) | 02/06/2018 | Common Shares | 25,000 | $13 | D | |
Employee Share Option (right to buy) | (3) | 04/27/2020 | Common Shares | 25,000 | $18 | D | |
Employee Share Option (right to buy) | (4) | 03/06/2021 | Common Shares | 17,500 | $12.68 | D |
Explanation of Responses: |
1. As of February 6, 2012, the option is fully vested and immediately exercisable for all option shares. |
2. The option was granted on February 7, 2008 and becomes exercisable with respect to one-fifth (1/5) of the underlying shares on the first anniversary of the grant date, and thereafter the balance of the option shares become exercisable in a series of forty-eight (48) successive equal monthly installments. |
3. The option was granted on April 28, 2010 and becomes exercisable with respect to one-fifth (1/5) of the underlying shares on the first anniversary of the grant date, and thereafter the balance of the option shares become exercisable in a series of forty-eight (48) successive equal monthly installments. |
4. The option was granted on March 7, 2011 and becomes exercisable with respect to one-fifth (1/5) of the underlying shares on the first anniversary of the grant date, and thereafter the balance of the option shares become exercisable in a series of forty-eight (48) successive equal monthly installments. |
/s/ Tony Grizelj | 02/06/2012 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |