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DIODES INC /DEL/ — Director's Dealing 2015
Jul 24, 2015
31521_dirs_2015-07-23_6f438be5-5eeb-4e83-90e8-d8ad6760ab4b.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: DIODES INC /DEL/ (DIOD)
CIK: 0000029002
Period of Report: 2015-07-21
Reporting Person: LU KEH SHEW (Director, President & CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-07-21 | Diodes Incorporated Common Stock | A | 700000 | $0.00 | Acquired | 1621720 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Diodes Incorporated Common Stock | 33550 | Indirect |
| Diodes Incorporated Common Stock | 103000 | Indirect |
| Diodes Incorporated Common Stock | 476783 | Indirect |
Footnotes
F1: The total stock units granted is divided into four installment grants, beginning on July 21, 2015 for 150,000 stock units, on July 1, 2016 for 250,000 stock units, on July 1, 2017 for 250,000 stock units, and on July 1, 2018 for 50,000 stock units. All stock units granted can only be vested upon satisfaction of two vesting conditions: a service-based vested requirement and a performance-based vested requirement. The service-based vested requirement can be satisfied in 100,000 stock units per year beginning in July 1, 2016 and in each of the six subsequent anniversary years so long as Keh-Shew Lu renders continuous service to the Company. The performance-based vested requirement shall be satisfied upon the achievement of a pre-determined performance criterion as of the third business day after the date the Company files with the Securities and Exchange Commission an Annual Report on Form 10-K for a fiscal year or a Quarterly Report on Form 10-Q.
F2: Granted under Rule 16b-3 Plan.
F3: Shares granted under the Company's 2013 Equity Incentive Plan.
F4: These shares are held in accounts for the reporting persons minor grandchildren and the reporting person is the custodian of those accounts. The reporting person disclaims ownership of the shares held in those custodial accounts, and this report is not an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purposes.