SEC Form 4 · accession 0001039399-17-000003
FORMFACTOR INC · FORM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas St Dennis
Director
Period of report
Feb 13, 2017
Accepted (ET)
Feb 15, 2017 · 5:53 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001039399
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 13, 2017 | M | 18,404 | $7.52 | A | 183,337 | D | |
| Common StockF1 | Feb 13, 2017 | S | 18,404 | $12.1522 | D | 164,933 | D | |
| Common Stock | Feb 14, 2017 | M | 80,397 | $7.52 | A | 245,330 | D | |
| Common StockF2 | Feb 14, 2017 | S | 80,397 | $12.0057 | D | 164,933 | D | |
| Common Stock | Feb 15, 2017 | M | 58,170 | $7.52 | A | 223,103 | D | |
| Common StockF3 | Feb 15, 2017 | S | 58,170 | $12.1313 | D | 164,933 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F4 | $7.52 | Feb 13, 2017 | M | 18,404 | D | — | Sep 13, 2017 | Common Stock | 18,404 | 431,596 | D |
| Non-Qualified Stock Option (right to buy)F4 | $7.52 | Feb 14, 2017 | M | 80,397 | D | — | Sep 13, 2017 | Common Stock | 80,397 | 351,199 | D |
| Non-Qualified Stock Option (right to buy)F4 | $7.52 | Feb 15, 2017 | M | 58,170 | D | — | Sep 13, 2017 | Common Stock | 58,170 | 293,029 | D |
Explanation of responses
- F1Price represents the weighted average sale price for the transaction reported. Price range of shares sold is $12.15 through $12.175. Reporting person undertakes to provide upon request by the SEC staff or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F2Price represents the weighted average sale price for the transaction reported. Price range of shares sold is $12.00 through $12.05. Reporting person undertakes to provide upon request by the SEC staff or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F3Price represents the weighted average sale price for the transaction reported. Price range of shares sold is $12.05 through $12.20. Reporting person undertakes to provide upon request by the SEC staff or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F4The Stock Option was granted pursuant to the Issuer's 2002 Equity Incentive Plan and vest over 4 years, with 25% vesting on September 13, 2011 and the remainder vesting in equal monthly installments over the following three years.