SEC Form 4 · accession 0001140361-15-045883
INTEVAC INC · IVAC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
21 APRIL FUND LTD
10% Owner
Period of report
Dec 28, 2015
Accepted (ET)
Dec 30, 2015 · 10:27 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001001902
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Dec 28, 2015 | P | 266,179 | $4.73 | A | 2,599,340 | D | |
| Common StockF3 | Dec 28, 2015 | P | 90,621 | $4.73 | A | 2,384,041 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Form 4 is filed by 21 April Fund, Ltd. ("21 April"), First Eagle Investment Management, LLC ("FEIM") and Arnhold and S. Bleichroeder Holdings, Inc. ("ASBH" and, collectively with 21 April and FEIM, the "Entities"). The Entities disclaim status as a "group" for purposes of this Form 4.
- F2These shares are held directly by 21 April. FEIM serves as registered investment adviser to 21 April and is a subsidiary of ASBH. FEIM and ASBH disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that FEIM and ASBH are the beneficial owners of the securities for purposes of Section 16 or for any other purpose.
- F3These shares are indirectly beneficially owned by FEIM, as registered investment adviser to accounts other than 21 April, and ASBH. FEIM and ASBH disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that FEIM and ASBH are the beneficial owners of the securities for purposes of Section 16 or for any other purpose. The share total for FEIM reflects a reduction of 50,000 shares from the previous filing because FEIM no longer has a pecuniary interest in such shares, having ended its provision of investment advisory services to the relevant account.