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*
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The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing
information which would alter disclosures provided in a prior cover page.
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CUSIP No. 816645 204
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Page 1 of 6
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1
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NAMES OF REPORTING PERSONS
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Trung T. Doan
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)
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☐
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(b)
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS (SEE INSTRUCTIONS)
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PF
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5
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
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☐
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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
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United States of America.
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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7
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SOLE VOTING POWER
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534,639 (a)
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8
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SHARED VOTING POWER
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0
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9
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SOLE DISPOSITIVE POWER
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534,639 (a)
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10
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SHARED DISPOSITIVE POWER
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0
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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534,639
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12
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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☐
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13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
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14.2%(b)
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14
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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IN
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CUSIP No. 816645 204
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Page 2 of 6
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Item 1.
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Security and Issuer
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This Statement relates to the Common Shares of the Issuer, whose principal executive offices are located at 3F, No.11 Ke Jung Rd., Chu-Nan Site, Hsinchu Science Park, Chu-Nan 350, Miao-Li County, Taiwan, R.O.C. |
Item 2.
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Identity and Background
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(a) This Schedule 13D is being filed on behalf of the following person (the “Reporting Person”):
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(i) Trung T. Doan, a U.S. citizen.
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All disclosures herein with respect to the Reporting Person are made only by such Reporting Person. Any disclosures herein with respect to persons other than the Reporting Person are made on information and belief after making inquiry
to the appropriate party.
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(b) The address of the principal business and office of the Reporting Person is c/o SemiLEDS Corporation, 3F, No. 11 Ke
Jung Rd., Chu-Nan Site Hsinchu Science Park, Chu-Nan 350 Miao-Li County, Taiwan, R.O.C.
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(c) The Reporting Person is a citizen of the United States and is the Chairman and the Chief Executive Officer of the
Issuer.
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(d) – (e) During the last five years, the Reporting Person has not been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or was party to a civil proceeding of a judicial or administrative
body of competent jurisdiction and, as a result of such proceeding, was or is subject to a judgment, decree, or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities
laws or finding any violation with respect to such laws.
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(f) Not Applicable
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Item 3.
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Source and Amount of Funds or Other Consideration
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CUSIP No. 816645 204
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Page 3 of 6
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Item 4.
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Purpose of Transaction
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CUSIP No. 816645 204
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Page 4 of 6
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Item 5.
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Interest in Securities of the Issuer
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(i) |
Trung T. Doan: 534,639 shares (14.88%), including 127,141 shares by The Trung Doan 2010 GRAT (“The “GRAT”).
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(i) |
Trung T. Doan: 534,639 shares (14.2%), including 127,141 shares by the GRAT.
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CUSIP No. 816645 204
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Page 5 of 6
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Item 6.
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Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer
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Item 7.
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Materials to be Filed as Exhibits
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Exhibit
Number |
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Description
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1.1
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Convertible unsecured promissory note issued December 10, 2019 to Trung Doan (incorporated by reference from Exhibit 1.1 to the Company’s Current Report on Form 8-K filed on December 11, 2019.
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CUSIP No. 816645 204
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Page 6 of 6
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/s/ Trung T. Doan
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___________________________
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TRUNG T. DOAN
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