Bing Xue - Dec 3, 2024 Form 4 Insider Report for ALPHA & OMEGA SEMICONDUCTOR Ltd (AOSL)

Role
EVP-WW Sales & Bus Development
Signature
/s/ Yanbing Hong, attorney-in-fact for Bing Xue
Stock symbol
AOSL
Transactions as of
Dec 3, 2024
Transactions value $
-$35,875
Form type
4
Date filed
12/4/2024, 07:53 PM
Previous filing
Apr 22, 2024
Next filing
Dec 13, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction AOSL Common Share Sale -$35.9K -875 -0.67% $41.00 129K Dec 3, 2024 Direct F1, F2, F3, F4, F5, F6
* 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 3, 2024.
F2 The price reported in Column 4 is the exact price at which all shares were sold.
F3 Includes 67,500 unvested shares subject to the Market-Based Performance Share Unit (MSU) granted on July 01, 2018 which are subject to vesting upon satisfaction of service-based vesting conditions by the Reporting Person.
F4 Includes 9,554 unvested shares subject to the Performance Share Unit (PSU) granted on March 15, 2021 and March 15, 2022 which are subject to vesting upon satisfaction of service-based vesting conditions by the Reporting Person.
F5 Includes an aggregate of 42,250 shares subject to Restricted Share Unit awards (RSU) granted on March 15, 2021, August 12, 2021, March 15, 2022, March 15, 2023, and March 15, 2024 which will be issued as such units vest in accordance with their terms, and excludes 15,000 unvested common shares subject to the PSU granted on March 15, 2024, which may become vested upon achievement of certain corporate performance goals in the future.
F6 Reflects 235 shares acquired under the Issuer's Employee Stock Purchase Plan on November 14, 2024.