SEC Form 4 · accession 0001039399-17-000005
FORMFACTOR INC · FORM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas St Dennis
Director
Period of report
Feb 16, 2017
Accepted (ET)
Feb 21, 2017 · 5:52 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 16, 2017 | M | 105,100 | $7.52 | A | 270,033 | D | |
| Common StockF1 | Feb 16, 2017 | S | 5,100 | $11.975 | D | 264,933 | D | |
| Common StockF2 | Feb 16, 2017 | S | 100,000 | $11.7944 | D | 164,933 | D | |
| Common Stock | Feb 17, 2017 | M | 84,214 | $7.52 | A | 249,147 | D | |
| Common StockF1 | Feb 17, 2017 | S | 6,249 | $11.90 | D | 242,898 | D | |
| Common StockF3 | Feb 17, 2017 | S | 77,965 | $11.8501 | D | 164,933 | D | |
| Common Stock | Feb 21, 2017 | M | 7,368 | $7.52 | A | 172,301 | D | |
| Common StockF1 | Feb 21, 2017 | S | 7,368 | $11.95 | 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 16, 2017 | M | 105,100 | D | — | Sep 13, 2017 | Common Stock | 105,100 | 187,929 | D |
| Non-Qualified Stock Option (right to buy)F4 | $7.52 | Feb 17, 2017 | M | 84,214 | D | — | Sep 13, 2017 | Common Stock | 84,214 | 103,715 | D |
| Non-Qualified Stock Option (right to buy)F4 | $7.52 | Feb 21, 2017 | M | 7,368 | D | — | Sep 13, 2017 | Common Stock | 7,368 | 96,347 | D |
Explanation of responses
- F1All shares sold at an exact price.
- F2Price represents the weighted average sale price for the transaction reported. Price range of shares sold is $11.75 through $11.875. 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 $11.85 through $11.875. 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.