SEC Form 4 · accession 0001503453-15-000038
INTEVAC INC · IVAC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Norman H Pond
Officer — Chairman of the Board · Director
Period of report
May 15, 2015
Accepted (ET)
May 19, 2015 · 4:05 pm EDT
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 Stock | May 15, 2015 | M | 7,000 | $0.00 | A | 21,639 | D | |
| Common Stock | May 15, 2015 | F | 2,397 | $5.28 | D | 19,242 | D | |
| Common StockF1 | holding | — | — | — | 38,144 | I | by Partnership | |
| Common StockF2 | holding | — | — | — | 720,045 | I | by Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3 | $0.00 | May 15, 2015 | M | 7,000 | D | May 15, 2015 | — | Common Stock | 7,000 | 0 | D |
Explanation of responses
- F1Shares are held in the name of the Pond Family Partnership, L.P., a Partnership. Norman Pond is the General Partner of the Partnership.
- F2Includes 589,960 shares held by the Norman Hugh Pond and Natalie Pond Trust DTD 12/23/90, 42,357 shares held by the Pond 1996 Charitable Remainder Unitrust DTD 10/15/96 and 87,728 shares hold by various trusts for the benefit of the Reporting Person's immediate family members. The Reporting Person serves as the trustee of these trusts.
- F3Vested shares will be delivered to the Reporting Person as soon as possible after each vesting date.