-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, E3ns5b/1gcbfiZQAC3GZQ4WSwH0gr3e/HeuqpnR0G9NrXPHWRrLz5/50/IeN9jeE AfpbA7IZEsJIvEFYcE628A== 0000029002-02-000016.txt : 20021007 0000029002-02-000016.hdr.sgml : 20021007 20021007171247 ACCESSION NUMBER: 0000029002-02-000016 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020628 FILED AS OF DATE: 20021007 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: SOONG RAYMOND CENTRAL INDEX KEY: 0000904067 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 4 MAIL ADDRESS: STREET 1: C/O DIODES INC STREET 2: 3050 E HILLCREST DR CITY: WESTLAKE STATE: CA ZIP: 91362 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: DIODES INC /DEL/ CENTRAL INDEX KEY: 0000029002 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 952039518 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 002-25577 FILM NUMBER: 02783411 BUSINESS ADDRESS: STREET 1: 3050 E HILLCREST DR CITY: WESTLAKE VILLAGE STATE: CA ZIP: 91362 BUSINESS PHONE: 8054464800 MAIL ADDRESS: STREET 1: 3050 E HILLCREST DR SUITE 200 STREET 2: 3050 E HILLCREST DR SUITE 200 CITY: WESTLAKE VILLAGE STATE: CA ZIP: 913623154 4 1 form4rs020628a.txt FORM 4 06/28/02 R. SOONG UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OMB APPROVAL OMB Number: 3235-0287 Expires: January 31, 2005 Estimated average burden hours per response. . . . 0.5 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 1. Name and Address of Reporting Person Soong, Raymond (Last) (First) (Middle) 3050 East Hillcrest Drive (Street) Westlake Village, CA 91362 (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Diodes Incorporated (DIOD) 3. I.R.S. or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Day/Year June 28, 2002 5. If Amendment, Date of Original (Month/Day/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director [X] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) [ ] Officer Title: 7. Individual or Joint/Group Filing (Check applicable line) Form filed by One Reporting Person [X] Form filed by More than One Reporting Person [ ] If form filed by more than one reporting person, see instruction 4(b)(v). Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any. (Month/Day/Year) 3. Transaction Code (Instr. 8) Code: V: 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Amount: (A) or (D): Price: 5. Amount of Securities Beneficially Owned at End of Month (Instr. 3 and 4) 6. Ownership Form (Instr. 4): Direct (D) or Indirect (I): 7. Nature of Indirect Beneficial Ownership (Instr. 4) (A) or (D) Table II-- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) 1. Title of Derivative Security (Instr.3) Common Stock 2. Conversion or Exercise Price of Derivative Security $8.53 3. Transaction Date (Month/Day/Year) 6/28/2002 3A. Deemed Execution Date, if any. (Month/Day/Year) 4. Transaction Code (Instr. 8) Code: A V: 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) A: 35,000 D: 6. Date Exercisable and Expiration Date (Month/Day/Year) Date Exercisable: see Note A Expiration Date: 6/28/2012 7. Title and Amount of Underlying Securities (Instr. 3 and 4) Title: Common Stock Amount: 35,000 8. Price of Derivative Security (Instr. 5) See Note B 9. Number of Derivative Securities Beneficially Owned at End of Month (Instr. 4) 452,500 10. Ownership Form of Derivative Securities Beneficially Owned at End of Month (Instr. 4) Direct (D) or Indirect (I): D 11. Nature of Indirect Beneficial Ownership (Instr. 4) Explanation of Responses: Note A: Options exercisable in 3 equal annual installments beginning 6/28/2003. Note B: Options granted under Rule 16b-3 Plan. /s/ Carl Wertz as Power of Attorney for Raymond Soong **Signature of Reporting Person 7/1/2002 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 4(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, on of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. http://www.sec.gov/divisions/corpfin/forms/4.htm Last update: 09/05/2002 -----END PRIVACY-ENHANCED MESSAGE-----