Bing Xue - Apr 12, 2021 Form 4 Insider Report for ALPHA & OMEGA SEMICONDUCTOR Ltd (AOSL)

Role
EVP-WW Sales & Bus Development
Signature
/s/ Yanbing Hong, attoryney-in-fact for Bing Xue
Stock symbol
AOSL
Transactions as of
Apr 12, 2021
Transactions value $
$75,059
Form type
4
Date filed
5/7/2021, 04:07 PM
Next filing
Jun 14, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AOSL Common Share Options Exercise $75.1K +5.81K +10.9% $12.91 59.2K Apr 12, 2021 Direct F1, F2

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 AOSL Employee Share Option (right to buy) Options Exercise $0 -5.81K -100% $0.00* 0 Apr 12, 2021 Common Shares 5.81K $12.91 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes an aggregate of 30,750 shares subject to Restricted Share Unit awards (RSU) granted on March 15, 2018, March 15, 2019, March 16, 2020, and March 15, 2021 which will be issued as such units vest in accordance with their terms, and excludes (a) 15,000 unvested common shares subject to the PSU granted on March 15, 2021, which may become vested upon achievement of certain corporate performance goals in the future and (b) 3,750 unvested common shares subject to the 2018 PSU which may be vested upon satisfaction of service-based vesting conditions by the Reporting Person.
F2 Includes 9,000 unvested common shares subject to the 2020 PSU granted on March 16, 2020 which may be vested upon satisfaction of service-based vesting conditions by the Reporting Person.
F3 All options are fully vested and exercisable.