Form 4: Alpha & Omega Semiconductor COO Wenjun Li Reports Share Transactions

Wenjun Li, Chief Operating Officer of Alpha & Omega Semiconductor, reports acquisition and disposal of company shares related to vesting of restricted stock units and performance share units.

Summary

• On March 17, 2025, Wenjun Li, the Chief Operating Officer of Alpha & Omega Semiconductor Ltd, reported transactions involving the company's common shares.
• Li acquired 10,000 shares through the vesting of Restricted Share Units (RSUs) at a price of $0.
• Additionally, Li acquired 10,000 shares through the vesting of Performance Share Units (PSUs) at a price of $0.
• Li disposed of 2,954 shares and 1,897 shares to satisfy tax withholding obligations related to the vesting of RSUs and PSUs, respectively, both at a price of $27.61.
• Following these transactions, Li directly owns 74,213 common shares, which includes unvested shares subject to Market-Based Performance Share Units (MSUs), Performance Share Units (PSUs), and Restricted Share Unit awards (RSUs).

Sentiment

Score: 7

Explanation: The sentiment is neutral to slightly positive as it reflects standard executive compensation practices and alignment of interests. There are no indications of negative performance or concerns.

Positives

• The vesting of RSUs and PSUs indicates that the COO is meeting service-based requirements and performance goals.

Negatives

• The disposal of shares to cover tax obligations reduces the COO's overall holdings, although this is a standard practice.

Risks

• The value of the shares is subject to market fluctuations, which could impact the overall value of the holdings.
• The vesting of unvested shares is contingent upon the Reporting Person remaining in the Issuer's service through each such vesting date.

Future Outlook

The Restricted Share Units (RSU) shall vest in equal annual installments over four (4) years from March 17, 2025, provided that the Reporting Person remains in the Issuer's service through each such vesting date.

Industry Context

This filing is a routine disclosure related to executive compensation and share ownership, common in the semiconductor industry.

Comparison to Industry Standards

• Executive compensation packages including RSUs and PSUs are standard practice in the semiconductor industry to align management interests with shareholder value.
• Companies like Texas Instruments (TXN), Intel (INTC), and NVIDIA (NVDA) also utilize similar equity-based compensation plans for their executives.

Stakeholder Impact

• The transactions have a minor impact on shareholders as they reflect standard executive compensation practices.
• Employees may view the vesting of RSUs and PSUs as a positive sign of the company's performance and commitment to its employees.

Key Dates