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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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
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 (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Common Stock (Right-to-Buy) | $ 15.05 | 05/28/2009 | A | 100,000 (1) | 05/28/2010(2) | 05/28/2019 | Diodes, Inc. Common Stock | 100,000 | $ 0 (6) | 100,000 | D | ||||
Common Stock (Right-to-Buy) | $ 19.28 | 05/24/2010 | A | 100,000 (1) | 05/24/2011(3) | 05/24/2020 | Diodes, Inc. Common Stock | 100,000 | $ 0 (6) | 100,000 | D | ||||
Common Stock (Right-to-Buy) | $ 29.21 | 05/26/2011 | A | 100,000 (1) | 05/26/2012(4) | 05/26/2021 | Diodes, Inc. Common Stock | 100,000 | $ 0 (6) | 100,000 | D | ||||
Common Stock (Right-to-Buy) | $ 19.27 | 05/21/2012 | A | 100,000 (1) | 05/26/2013(5) | 05/21/2022 | Diodes, Inc. Common Stock | 100,000 | $ 0 (6) | 100,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LU KEH SHEW 4949 HEDGCOXE ROAD, SUITE 200 PLANO, TX 75024 |
X | President & CEO |
/s/ Richard D. White as Power of Attorney for Keh-Shew Lu | 04/02/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | Form 4s were filed on June 1, 2009, May 26, 2010, May 31, 2011 and May 23, 2012 to report grants of stock options (each annual grant, an "Option Grant") to purchase 220,000, 196,000, 196,000, 196,000 shares, respectively, of the Company's Common Stock under the Company's 2001 Omnibus Equity Incentive Plan, as amended. The Company and the reporting person have agreed and confirmed (1) that the reporting person will assert no claim that any such Option Grant provided for the purchase of more than 100,000 shares of Company Common Stock, and (2) that each Option Grant document be deemed amended to reflect the foregoing 100,000 share limitation. |
(2) | NQSO Exercisable in 4 equal annual installments beginning 5/28/2010. |
(3) | NQSO Exercisable in 4 equal annual installments beginning 5/24/2011. |
(4) | NQSO Exercisable in 4 equal annual installments beginning 5/26/2012. |
(5) | NQSO Exercisable in 4 equal annual installments beginning 5/26/2013. |
(6) | Granted under Rule 16b-3 Plan. |