Michael L. Pfeiffer - Jan 18, 2024 Form 4 Insider Report for ALPHA & OMEGA SEMICONDUCTOR Ltd (AOSL)

Role
Director
Signature
/s/ Yanbing Hong, attorney-in-fact for Michael L. Pfeiffer
Stock symbol
AOSL
Transactions as of
Jan 18, 2024
Transactions value $
-$41,227
Form type
4
Date filed
1/19/2024, 06:32 PM
Previous filing
Nov 13, 2023
Next filing
Nov 8, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AOSL Common Shares Options Exercise $17.1K +2.38K +4.12% $7.21 60K Jan 18, 2024 Direct
transaction AOSL Common Shares Sale -$17.7K -664 -1.11% $26.68 59.3K Jan 18, 2024 Direct F1, F2
transaction AOSL Common Shares Options Exercise $32.4K +4.5K +7.58% $7.21 63.8K Jan 19, 2024 Direct
transaction AOSL Common Shares Sale -$73.1K -2.67K -4.19% $27.34 61.2K Jan 19, 2024 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 Share Option (Right to Buy) Options Exercise $0 -2.38K -34.55% $0.00 4.5K Jan 18, 2024 Common Share 2.38K $7.21 Direct F3
transaction AOSL Share Option (Right to Buy) Options Exercise $0 -4.5K -100% $0.00* 0 Jan 19, 2024 Common Share 4.5K $7.21 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.

Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

Explanation of Responses:

Id Content
F1 The sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 1, 2023.
F2 The price reported in Column 4 is the exact price at which all shares were sold.
F3 The option is fully vested and immediately exercisable for all option shares.