Company: AOSL
Filing Date: 2025-02-06
Form Type: 10-Q
Source: 0001387467-25-000017
Chunk: 142

Company: ALPHA & OMEGA SEMICONDUCTOR Ltd
Filing Date: 2025-02-06
Form: 10-Q
Item: Item 1A
Chunk 142
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ITEM 1A.   RISK FACTORS   

Item 1A of Part I of our Annual Report on Form 10-K for the year ended June 30, 2024, filed with the SEC on August 23, 2024, contains risk factors identified by the Company.  There have been no material changes to the risk factors we previously disclosed in our filings with the SEC. Our operations could also be affected by additional factors that are not presently known to us or by factors that we currently consider immaterial to our business.

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ITEM 2.   UNREGISTERED SALES OF EQUITY SECURITIES AND USE OF PROCEEDS

Not applicable.

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ITEM 3.   DEFAULTS UPON SENIOR SECURITIES 

Not applicable.  

ITEM 4.   MINE SAFETY DISCLOSURES

Not applicable.

ITEM 5.   OTHER INFORMATION

Trading Plans or Rule 10b5-1 Trading Plans

The table below summarizes the material terms of trading arrangements adopted by any of our executive officers or directors during the December 2024 quarter. All of the trading arrangements listed below are intended to satisfy the affirmative defense of Rule 10b5-1(c).NameTitleDate of AdoptionEnd Date 1Aggregate number of shares common shares to be sold pursuant to 10b5-1 trading agreementsStephen C. ChangChief Executive OfficerDecember 13, 2024July 31, 202517,371 Yifan LiangChief Financial OfficerDecember 11, 2024August 22, 202535,142 Lucas ChangIndependent  DirectorDecember 16, 2024April 7, 202513,124 Lucas ChangIndependent DirectorSeptember 3, 2024December 3, 202412,497  *1 Each plan will expire on the earlier of the end date and the completion of all transactions under the trading arrangement. 

*This rule 10b5-1 trading arrangement was inadvertently omitted in Item 5 of Part II of our Quarterly Report on Form 10-Q for the period ended September 30, 2024.  This plan was terminated on or about December 3, 2024 when all shares were sold under such plan.

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ITEM 6.   EXHIBITS

10.1The Fourth Supplement to Non-Exclusive Distributor Agreement dated as of January 1, 2024 between Alpha & Omega Semiconductor (Hong Kong) Limited and Frontek Technology Corporation