Keh Shew Lu - Jul 29, 2021 Form 4 Insider Report for DIODES INC /DEL/ (DIOD)

Role
President & CEO, Director
Signature
Brett R. Whitmire as Power of Attorney for Keh-Shew Lu
Stock symbol
DIOD
Transactions as of
Jul 29, 2021
Transactions value $
-$5,024,319
Form type
4
Date filed
8/2/2021, 05:48 PM
Previous filing
Jul 8, 2021
Next filing
Aug 5, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction DIOD Diodes Incorporated Common Stock Options Exercise $140K +5K +1.3% $27.92 391K Jul 29, 2021 Direct F1
transaction DIOD Diodes Incorporated Common Stock Sale -$344K -4.3K -1.1% $80.00 386K Jul 29, 2021 Direct F2
transaction DIOD Diodes Incorporated Common Stock Sale -$217K -2.7K -0.7% $80.37 384K Jul 29, 2021 Direct F2, F3
transaction DIOD Diodes Incorporated Common Stock Options Exercise $419K +15K +3.91% $27.92 399K Jul 30, 2021 Direct F1
transaction DIOD Diodes Incorporated Common Stock Sale -$346K -4.3K -1.08% $80.50 394K Jul 30, 2021 Direct F2
transaction DIOD Diodes Incorporated Common Stock Sale -$348K -4.3K -1.09% $81.00 390K Jul 30, 2021 Direct F2
transaction DIOD Diodes Incorporated Common Stock Sale -$351K -4.3K -1.1% $81.51 386K Jul 30, 2021 Direct F2
transaction DIOD Diodes Incorporated Common Stock Sale -$1.37M -16.8K -4.36% $81.39 369K Jul 30, 2021 Direct F2, F4
transaction DIOD Diodes Incorporated Common Stock Options Exercise $698K +25K +6.78% $27.92 394K Aug 2, 2021 Direct F1
transaction DIOD Diodes Incorporated Common Stock Sale -$358K -4.3K -1.09% $83.18 390K Aug 2, 2021 Direct F2
transaction DIOD Diodes Incorporated Common Stock Sale -$358K -4.3K -1.1% $83.19 385K Aug 2, 2021 Direct F2
transaction DIOD Diodes Incorporated Common Stock Sale -$357K -4.3K -1.12% $83.00 381K Aug 2, 2021 Direct F2
transaction DIOD Diodes Incorporated Common Stock Sale -$359K -4.3K -1.13% $83.50 377K Aug 2, 2021 Direct F2
transaction DIOD Diodes Incorporated Common Stock Sale -$361K -4.3K -1.14% $84.00 372K Aug 2, 2021 Direct F2
transaction DIOD Diodes Incorporated Common Stock Sale -$1.51M -18.2K -4.89% $83.24 354K Aug 2, 2021 Direct F2, F5
holding DIOD Diodes Incorporated Common Stock 46.2K Jul 29, 2021 Custodial F6
holding DIOD Diodes Incorporated Common Stock 422K Jul 29, 2021 Lu Grandchildren's Trust
holding DIOD Diodes Incorporated Common Stock 55.7K Jul 29, 2021 The Lu Family Foundation
holding DIOD Diodes Incorporated Common Stock 4.7K Jul 29, 2021 The Lu 2017 Irrevocable Trust
holding DIOD Diodes Incorporated Common Stock - Performance Stock Units 221K Jul 29, 2021 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction DIOD 05/27/14 DIOD NQSO Options Exercise $0 -5K -6.25% $0.00 75K Jul 29, 2021 Diodes Incorporated Common Stock - Diodes 5K $27.92 Direct F1
transaction DIOD 05/27/14 DIOD NQSO Options Exercise $0 -15K -20% $0.00 60K Jul 30, 2021 Diodes Incorporated Common Stock - Diodes 15K $27.92 Direct F1
transaction DIOD 05/27/14 DIOD NQSO Options Exercise $0 -25K -41.67% $0.00 35K Aug 2, 2021 Diodes Incorporated Common Stock - Diodes 25K $27.92 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Exercised under a 10b5-1 plan.
F2 Sold under a 10b5-1 plan.
F3 The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.30 to $80.47, inclusive. The reporting person undertakes to provide to Diodes Incorporated, any security holder of Diodes Incorporated, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.
F4 The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.62 to $82.02, inclusive. The reporting person undertakes to provide to Diodes Incorporated, any security holder of Diodes Incorporated, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.
F5 The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $82.50 to $83.80, inclusive. The reporting person undertakes to provide to Diodes Incorporated, any security holder of Diodes Incorporated, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (5) to this Form 4.
F6 These shares are held in accounts for the reporting persons minor grandchildren and the reporting person is the custodian of those accounts. The reporting person disclaims ownership of the shares held in those custodial accounts, and this report is not an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purposes.