FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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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(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security | 8. Price of Derivative Security | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) | 11. Nature of Indirect Beneficial Ownership |
Code | V | (A) | (D) | Date Exercisable | Expriation Date | Title | Amount or Number of Shares |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Li Wenjun 475 OAKMEAD PKWY SUNNYVALE, CA94085 |
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Chief Operating Officer |
Signatures
/s/ Yanbing Hong, attorney-in-fact for Wenjun Li | 2024-01-05 |
**Signature of Reporting Person | Date |
Explanation of Responses:
(*) | 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). |
(1) | Represents market-based restricted share units (MRSUs) granted on July 1, 2018 upon the achievement of specified performance goals as certified previously by the Compensation Committee on February 22, 2023 and the issuance of shares thereunder is subject to vesting in four equal annual installment commencing in January 2024 provided that the Reporting Person remains in the issuers service through each such vesting date. |
(2) | Includes an aggregate of 19,250 shares subject to Restricted Share Unit awards (RSU) granted on March 16, 2020, March 15, 2021, March 15, 2022, and March 15, 2023 which will be issued as such units vest in accordance with their terms, and excludes 11,808 unvested common shares subject to the PSU granted on March 15, 2023, which may become vested upon achievement of certain corporate performance goals in the future. |
(3) | Includes 4,644 unvested shares subject to the PSU granted on March 15, 2022 which are subject to vesting upon satisfaction of service-based vesting conditions by the Reporting Person. |
(4) | Reflects 768 shares acquired under the Issuer's Employee Stock Purchase Plan on May 12, 2023. |
(5) | Shares withheld to satisfy the Issuer's tax withholding obligation upon the issuance and annual vesting of shares subject to MRSUs. |
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Alpha & Omega Semiconductor Ltd. published this content on 05 January 2024 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 06 January 2024 01:15:04 UTC.