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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 | ||||||||
05/28/09 DIOD NQSO | $ 15.05 | 08/20/2013 | M | 4,500 | 05/28/2010(2) | 05/28/2019 | Diodes Incorporated Common Stock | 4,500 | $ 0 (1) | 0 | D | ||||
05/24/2010 DIOD NQSO | $ 19.28 | 08/20/2013 | M | 3,375 | 05/24/2011(3) | 05/24/2020 | Diodes Incorporated Common Stock | 3,375 | $ 0 (1) | 1,125 | D | ||||
05/21/12 DIOD NQSO | $ 19.27 | 08/20/2013 | M | 1,125 | 05/26/2013(4) | 05/21/2022 | Diodes Incorporated Common Stock | 1,125 | $ 0 (1) | 3,375 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Greene Colin 4949 HEDGCOXE ROAD SUITE 200 PLANO, TX 75024 |
European President/VP EU Sls |
Richard D. White as Power of Attorney for Colin Greene | 08/22/2013 | |
**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) | Granted under Rule 16b-3 Plan. |
(2) | Non-qualified stock options exercisable in four equal annual installments beginning 05/28/2010. |
(3) | Non-qualified stock options exercisable in four equal annual installments beginning 05/24/2011. |
(4) | Non-qualified stock options exercisable in four equal annual installments beginning 05/26/2013. |
(5) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25 to $25.24, 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. |