0001387467-23-000003.txt : 20230110 0001387467-23-000003.hdr.sgml : 20230110 20230110175956 ACCESSION NUMBER: 0001387467-23-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230109 FILED AS OF DATE: 20230110 DATE AS OF CHANGE: 20230110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Chang Mike F CENTRAL INDEX KEY: 0001511393 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34717 FILM NUMBER: 23522100 MAIL ADDRESS: STREET 1: 475 OAKMEAD PARKWAY CITY: SUNNYVALE STATE: CA ZIP: 94085 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ALPHA & OMEGA SEMICONDUCTOR Ltd CENTRAL INDEX KEY: 0001387467 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 000000000 FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 475 OAKMEAD PARKWAY CITY: SUNNYVALE STATE: CA ZIP: 94085 BUSINESS PHONE: 408-830-9742 MAIL ADDRESS: STREET 1: 475 OAKMEAD PARKWAY CITY: SUNNYVALE STATE: CA ZIP: 94085 FORMER COMPANY: FORMER CONFORMED NAME: ALPHA & OMEGA SEMICONDUCTOR LTD DATE OF NAME CHANGE: 20070123 4 1 wf-form4_167339158159974.xml FORM 4 X0306 4 2023-01-09 0 0001387467 ALPHA & OMEGA SEMICONDUCTOR Ltd AOSL 0001511393 Chang Mike F 475 OAKMEAD PARKWAY SUNNYVALE CA 94085 1 1 1 0 Chief Executive Officer Common Shares 2023-01-09 4 M 0 56400 8.45 A 4408610 D Common Shares 2023-01-09 4 S 0 56400 29.9556 D 4352210 D Employee Share Option (right to buy) 8.45 2023-01-09 4 M 0 56400 0 A 2023-02-14 Common Shares 56400.0 0 D Includes an aggregate of 170,000 shares subject to Restricted Share Unit awards (RSU) granted on March 15, 2019, March 16, 2020, March 15, 2021, and March 15, 2022 which will be issued as such units vest in accordance with their terms, and excludes 70,000 unvested common shares subject to the PSU granted on March 15, 2022, which may become vested upon achievement of certain corporate performance goals in the future. Includes 52,500 unvested shares subject to the PSU granted on March 15, 2021 and 35,000 unvested shares subject to the PSU granted on March 16, 2020 which are subject to vesting upon satisfaction of service-based vesting conditions by the Reporting Person. The sales were effected pursuant to a Rule 10b5-1 trading plan adopted previously by the Reporting Person. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.55 to $30.53, 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. The option is fully vested and immediately exercisable for all option shares. /s/ Yanbing Hong, attorney-in-fact for Mike F. Chang 2023-01-10