Company: AOSL
Filing Date: 2025-11-06
Form Type: 10-Q
Source: 0001387467-25-000066
Chunk: 86

Company: ALPHA & OMEGA SEMICONDUCTOR Ltd
Filing Date: 2025-11-06
Form: 10-Q
Item: Item 8
Chunk 86
---
 OF PROCEEDS

Not applicable.

39

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 and directors during the three months ended September 30, 2025. All of the trading arrangements listed below are intended to satisfy the affirmative defense of Rule 10b5-1(c).NameTitleDate of AdoptionEnd Date ( 1)Aggregate number of common shares to be sold pursuant to 10b5-1 trading agreementsBing XueExecutive Vice President Worldwide Sales and Business DevelopmentAugust 14, 2025July 23, 202612,002 (2)Yifan LiangChief Financial OfficerAugust 21, 2025May 22, 202635,142 Stephen ChangChief Executive OfficerSeptember 08, 2025June 30, 202620,478 1. Each plan will expire on the earlier of the end date and the completion of all transactions under the trading agreements. 2. Excludes (i) approximately 3,690 common shares to be issued upon the vesting of Restricted Share Unit awards (RSU) and (ii) approximately 3,690 common shares to be issued upon the vesting of Performance Share Unit awards (PSU), assuming the achievement of applicable corporate performance goals in the future; in each case of (i) and (ii), taking into account shares to be withheld to satisfy estimated tax withholding obligations based on an assumed closing price of our common shares at such vesting dates.

40

ITEM 6.   EXHIBITS

10.1**Equity Transfer Agreement, dated July 14, 2025, by and among Alpha and Omega Semiconductor Limited, Alpha and Omega Semiconductor (Shanghai) Ltd., and a strategic investor31.1Certification of Chief Executive Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.31.2Certification of Chief Financial Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-O