ALPHA & OMEGA SEMICONDUCTOR LTD
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1 ALPHA & OMEGA SEMICONDUCTOR LTD FORM 8-K (Current report filing) Filed 03/29/16 for the Period Ending 03/29/16 Address 475 OAKMEAD PARKWAY SUNNYVALE, CA Telephone CIK Symbol AOSL SIC Code Semiconductors and Related Devices Industry Semiconductors Sector Technology Fiscal Year 06/30 Copyright 2016, EDGAR Online, Inc. All Rights Reserved. Distribution and use of this document restricted under EDGAR Online, Inc. Terms of Use.
2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 DateofReport(DateofearliesteventReported):March29,2016 Alpha and Omega Semiconductor Limited (ExactNameofRegistrantasSpecifiedinCharter) Bermuda (StateorOtherJurisdictionof (CommissionFileNumber) (I.R.S.EmployerIdentificationNumber) Incorporation) Clarendon House 2 Church Street, Hamilton, Bermuda HM 11 (AddressofPrincipalExecutiveOffices)(ZipCode) (408) (Registrant'stelephonenumber,includingareacode) N/A (Formernameorformeraddress,ifchangedsincelastreport) ChecktheappropriateboxbelowiftheForm8-Kfilingisintendedtosimultaneouslysatisfythefilingobligationoftheregistrant underanyofthefollowingprovisions: [] WrittencommunicationspursuanttoRule425undertheSecuritiesAct(17CFR ) [] SolicitingmaterialpursuanttoRule14a-12undertheExchangeAct(17CFR240.14a-12) [] Pre-commencementcommunicationspursuanttoRule14d-2(b)undertheExchangeAct(17CFR240.14d-2(b)) [] Pre-commencementcommunicationspursuanttoRule13e-4(c)undertheExchangeAct(17CFR240.13e-4(c))
3 Item Entry into a Material Definitive Agreement. OnMarch29,2016,AlphaandOmegaSemiconductorLimited(the Company )andcertainofitssubsidiaries(collectively, AOS )enteredintoajointventure contract(the JVAgreement )withchongqingstrategicemergingindustryequityinvestmentfundpartnership(lp)( StrategicIndustryFund )andchongqing LiangjiangNewAreaStrategicEmergingIndustryEquityInvestmentFundPartnership(LP)(togetherwithStrategicIndustryFund,the ChongqingFunds ), pursuanttowhichaosandchongqingfundswillformajointventure,chongqingalphaandomegasemiconductorlimited(the JVCompany ),forthe purposeofconstructingapowersemiconductorpackaging/testingandwaferfabricationfacilityintheliangjiangnewareaofchongqing,china(the JV Transaction ). ThetotalinitialcapitalizationoftheJVCompanywillbe$330,000,000(the InitialCapitalization ),whichisconsistedof(i)atotalof$162,000,000ofcash contributionsfromthechongqingfunds;(ii)$74,000,000ofexistingpackagingandtestingequipmentownedbyaoslocatedinshanghai,china;(iii)certain intellectualpropertyrights(the JointVentureIP ),includingpatents,heldbyaosrelatingtothemanufacturingtechnologyvaluedat$84,000,000;and(iv) $10,000,000ofcashcontributionbytheCompany.TheInitialCapitalizationwillbecompletedinstagescommencingontheincorporationoftheJVCompany untiljuly2017.pursuanttothejvagreement,thejvcompanywillgrantalicense,freeofcharge,toaostousethejointventureip.ifthejvcompany developsandcreatesnewtechnology,thejvcompanywillretainownershipofanyintellectualpropertyrightsrelatedtosuchtechnology,butwillgrantalicense, freeofcharge,toaostousesuchtechnology. AOSwillown51%,andtheChongqingFundswillown49%,oftheequityinterestintheJVCompany.TheCompanyretainstherighttoappointsenior managementmembers,includingthechiefexecutiveofficerandchieffinancialofficer,ofthejvcompany,andchongqingfundsretaintherighttoappointan AssetManagementVicePresident.TheJVCompanywillbemanagedandsupervisedbyaBoardofDirectorsconsistedofseven(7)members,four(4)ofwhom willbeappointedbythecompanyandthree(3)ofwhomwillbeappointedbythechongqingfunds. TheJVAgreementcontainscustomaryrepresentations,warrantiesandcovenantsforbothparties.TheJVAgreementhasatermof15yearsfromthedateofthe incorporationofthejvcompany,whichmaybeextendedbymutualconsentofthepartiesforatleastoneyear.thejvagreementmaybeterminatedearly, subjecttotheapprovaloftheboardofdirectorsofthejvcompanyandtheministryofcommerceofchinaoritslocalauthority(the ChineseAuthority ),by(i) themutualagreementofbothaosandchongqingfundsintheeventofamaterialadversechangetotheoperationofthejvcompany;(ii)eitherpartyinthe eventofbankruptcyandinsolvencyofthejvcompany;and(iii)eitherpartyupontheoccurrenceofcertainforcemajeureevents.thejvagreementissubjectto theapprovalbythechineseauthority. TheforegoingdescriptionisasummaryandqualifiedinitsentiretybytheJVAgreement,acopyofwhichtheCompanyintendstofileasanexhibittoitsnext periodicreporttobefiledwiththesecuritiesandexchangecommission. OnMarch29,2016,theCompanyissuedapressreleaseannouncingtheJVAgreementdescribedinItem1.01above.Acopyofthepressreleaseisattachedas Exhibit99.1heretoandisincorporatedhereinbyreference. Item Costs Associated with Exit or Disposal Activities. AdditionalchargesandfuturecashexpendituresmaybeincurredinconnectionwiththeJVTransactionasdescribedinItem1.01above.Atthistime,the CompanyisunableingoodfaithtomakeadeterminationofanestimateoftheamountorrangeofamountsexpectedtobeincurredinconnectionwiththeJV Transaction,bothwithrespecttoeachmajortypeofcostassociatedtherewithandwithrespecttothetotalcost,oranestimateoftheamountorrangeofamounts thatwillresultinfuturecashexpendituresfromsuchtransactions. Item Financial Statements and Exhibits. (d) Exhibits. ExhibitDescription 99.1PressReleasedatedMarch29,2016.
4 SIGNATURE PursuanttotherequirementsoftheSecuritiesExchangeActof1934,theregistranthasdulycausedthisreporttobesignedonitsbehalfbytheundersigned hereuntodulyauthorized. Alpha and Omega Semiconductor Limited Date:March29,2016 By:/s/YifanLiang Name:YifanLiang Title:ChiefFinancialOfficerandCorporateSecretary
5 EXHIBIT 99.1 Alpha and Omega Semiconductor Limited Announces Joint Venture Agreement in China SUNNYVALE,Calif.,March29,2016(GLOBENEWSWIRE)--AlphaandOmegaSemiconductorLimited(AOS)(Nasdaq:AOSL),adesigner,developerand globalsupplierofabroadrangeofpowersemiconductorsandpowerics,todayannouncedthatithasexecutedadefinitiveagreementwithtwostrategic investmentfundsownedbythemunicipalityofchongqing,china,toformthepreviouslyannouncedjointventureforanewstate-of-the-artpowersemiconductor packaging/testingandwaferfabricationfacilityintheliangjiangnewareaofchongqing(the JointVenture ). TheinitialcapitalizationoftheJointVentureundertheagreementwillbe$330million.Thisreflectscashcontributions,primarilyfromtheChongqingfunds,as wellasexistingpackagingandtestingequipmentfromaos,andcertainaosintellectualpropertyrelatingtopackagingandwafermanufacturingtechnology. AOSwillown51%,andtheChongqingfundswillown49%,oftheequityinterestintheJointVenture.TheJointVentureagreementissubjecttoapprovalbythe relevantchineseauthorities. Weareexcitedtobeginthispartnership,whichwebelievewillenablebothAOSandChongqingtogrowandprosper, saiddr.mikechang,chairmanandceo ofaos. ThisjointventurewithChongqingrepresentsanimportantmilestoneinourstrategicroadmap.Itwillhelpfurtherdiversifyourofferingsofpower semiconductorproductsandimproveouraccesstocustomersinchinaasweworktoaccelerateourlong-termgrowthandprofitability. TheJointVentureisexpectedtocommenceitsinitialpackagingproductioninmid2017.Priortothat,AOSintendstograduallyrelocateamajorityofits assemblyandtestingequipmenttothejointventurefromitsexistingfacilityinshanghai,whichwillcontinueasacenterofsupplychainmanagement,technology development,andhigh-valueproduction.overthelongerterm,thejointventureexpectstoconstructa12-inchwaferfabricationfacilityfortheproductionof powersemiconductors. TheJointVentureisdesignedtobringtogetherthetechnologicalandoperationalcapabilityofAOSinpowersemiconductorproductmanufacturingwiththe capitalresourcesandregionalinfrastructuresupportofthechongqingauthority. Forward Looking Statements This press release contains forward-looking statements that are based on current expectations, estimates, forecasts and projections of future performance based on management's judgment, beliefs, current trends, and anticipated product performance. These forward looking statements include, without limitation, statements relating to the expected benefits of the Joint Venture, including increased sales and customers, reduced costs, improvement in working capital and capital expenditures; the construction of a manufacturing facility in Chongqing; the initial capitalization and contribution of parties to the Joint Venture; the anticipated commencement date for Joint Venture s manufacturing operation; operation of the company's Shanghai facilities; approval of the Joint Venture by Chinese authority; and the acquisition of a fabrication facility. Forward looking statements involve risks and uncertainties that may cause actual results to differ materially from those contained in the forward-looking statements. These factors include, but are not limited to, the inability of AOS and the Chongqing authority to perform its obligations under the Joint Venture agreement; insufficient funding to complete the project; difficulties and delays in the formation of the Joint Venture, source of funding of the Joint Venture and construction of the facility; the inability to expand customer base on China, the decline of the PC industry and our ability to respond to such decline, our ability to introduce or develop new and enhanced products that achieve market acceptance, the actual product performance in volume production, the quality and reliability of our product, our ability to achieve design wins, the general business and economic conditions, the state of semiconductor industry and seasonality of our markets, our ability to maintain factory utilization at a desirable level, and other risks as described in our SEC filings, including our Annual Report on Form 10-K for the fiscal year ended June 30, Other unknown or unpredictable factors or underlying assumptions subsequently proving to be incorrect could cause actual results to differ materially from those in the forward-looking statements. Although we believe that the expectations reflected in the forward looking statements are reasonable, we cannot guarantee future results, level of activity, performance, or achievements. You should not place undue reliance on these forward-looking statements. All information provided in this press release is as of today's date, unless otherwise stated, and AOS undertakes no duty to update such information, except as required under applicable law. CONTACT: AlphaandOmegaSemiconductorLimited InvestorRelations So-YeonJeong investors@aosmd.com
Alpha and Omega Semiconductor Reports Financial Results for the Fiscal Fourth Quarter and the Fiscal Year Ended June 30, 2017
August 9, Alpha and Omega Semiconductor Reports Financial Results for the Fiscal Fourth Quarter and the Fiscal Year Ended SUNNYVALE, Calif., Aug. 09, (GLOBE NEWSWIRE) -- Alpha and Omega Semiconductor Limited
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