Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
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- Peter Lynch
What is insider trading>>
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No._)*
O2MICRO INTERNATIONAL LIMITED
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(Name of Issuer)
Ordinary shares, par value US$0.00002 per share
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(Title of Class of Securities)
57107W100*
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(CUSIP Number)
*CUSIP represents American Depositary Share, each representing fifty
ordinary shares.
The information required in the remainder of this cover page shall not be
deemed to be "filed" for the purpose of Section 18 of the Securities Exchange
Act of 1934 ("Act") or otherwise subject to the liabilities of that section of
the Act but shall be subject to all other provisions of the Act.
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Page 2 of 4
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(1) NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only).
Kevin X. Lu
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(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS):
(a) [_]
(b) [_]
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(3) SEC USE ONLY
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(4) CITIZENSHIP OR PLACE OF ORGANIZATION
California
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(5) SOLE VOTING POWER
NUMBER OF SHARES 1,505,000 ordinary shares*
BENEFICIALLY OWNED _____________________________
BY EACH REPORTING
PERSON WITH: (6) SHARED VOTING POWER
0
_____________________________
(7) SOLE DISPOSITIVE POWER
1,505,000 ordinary shares*
_____________________________
(8) SHARED DISPOSITIVE POWER
0
______________________________
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,505,000 ordinary shares*
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(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS)
[_]
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(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.1%
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(12) TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
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*(a). On January 23, 2023, the Reporting Person surrendered 30,100 American
Depositary Shares to BNY Mellon for conversion to 1,505,000 Ordinary Shares.
(b). The Instrument of Transfer for Ordinary Share registration was fully
executed on January 23, 2023.
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Page 3 of 4
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Item 1.
(a) Name of Issuer
O2MICRO INTERNATIONAL LIMITED
(b) Address of Issuer's Principal Executive Offices.
Grand Pavilion Commercial Centre, West Bay Road,
Grand Cayman, KY-1209, Cayman Islands
Item 2.
(a) Name of Person Filing:
Kevin X. Lu
(b) Address of Principal Business Office or, if none, Residence.
2361 Brandini Dr., Dublin, CA 94568
(c) Citizenship.
California
(d) Title of Class of Securities.
ordinary shares
(e) CUSIP Number.
57107W100
Item 3. If this statement is filed pursuant to Rule 13d-1(b) or 13-d-2(b)
or (c),check whether the person filing is a:
(a) [_] Broker or dealer registered under section 15 of the Act.
(b) [_] Bank as defined in section 3(a)(6) of the Act.
(c) [_] Insurance Company as defined in section 3(a)(19) of the Act.
(d) [_] Investment Company registered under section 8 of the Investment
Company Act.
(e) [_] Investment Adviser in accordance with Sec.240.13d-1(b)(1)(ii)(E).
(f) [_] Employee Benefit Plan or Endowment Fund in accordance with
Sec. 240.13d-1(b)(1)(ii)(F).
(g) [_] Parent holding company, in accordance with Sec.240.13d-1(b)(1)(ii)(G).
(h) [_] A savings associations as defined in Section 3(b) of the Federal
Deposit Insurance Act.
(i) [_] A church plan that is excluded from the definition of an investment
company under section 3(c)(14) of the Investment Company Act of 1940.
(j) [_] Group, in accordance with Sec.240.13d-1(b)(1)(ii)(J).
Item 4. Ownership.
(a) Amount beneficially owned.
1,505,000 Ordinary Shares
(b) Percent of Class.
0.1%
(c) Number of shares as to which the person has:
(i) sole power to vote or to direct the vote:
1,505,000 Ordinary Shares
(ii) Shared power to vote or to direct the vote: 0
(iii) sole power to dispose or to direct the disposition of:
1,505,000 Ordinary Shares
(iv) Shared power to dispose or to direct the disposition of: 0
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Page 4 of 4
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Item 5. Ownership of Five Percent or Less of a Class [X]
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
N/A
Item 7. Identification and Classification of the Subsidiary Which Acquired
the Security Being Reported on by the Parent Holding Company.
N/A
Item 8. Identification and Classification of Members of the Group.
N/A
Item 9. Notice of Dissolution of a Group.
N/A
Item 10. Certification
By signing below I certify that, to the best of my knowledge and belief,
the securities referred to above were acquired and are held in the ordinary
course of business and not acquired and are not held for the purpose of or
with the effect of changing or influencing the control of the issuer of the
securities and were not acquired and are not held in connection with or as
a participant in any transaction having that purpose or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete
and correct.
Date: February 24, 2023
By: /s/ Kevin X. Lu
Name/Title: Kevin X. Lu