SEC Form 4 · accession 0001039399-17-000006
FORMFACTOR INC · FORM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas St Dennis
Director
Period of report
Feb 22, 2017
Accepted (ET)
Feb 24, 2017 · 7:38 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 22, 2017 | M | 17,597 | $7.52 | A | 182,530 | D | |
| Common StockF1 | Feb 22, 2017 | S | 17,597 | $11.75 | D | 164,933 | D | |
| Common Stock | Feb 24, 2017 | M | 2,700 | $7.52 | A | 167,633 | D | |
| Common StockF1 | Feb 24, 2017 | S | 2,700 | $11.225 | 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)F2 | $7.52 | Feb 22, 2017 | M | 17,597 | D | — | Sep 13, 2017 | Common Stock | 17,597 | 78,750 | D |
| Non-Qualified Stock Option (right to buy)F2 | $7.52 | Feb 24, 2017 | M | 2,700 | D | — | Sep 13, 2017 | Common Stock | 2,700 | 76,050 | D |
Explanation of responses
- F1All shares sold at an exact price.
- F2The 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.