SEC Form 4/A · accession 0001040470-15-000038
AEHR TEST SYSTEMS · AEHR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Carl N Buck
Officer — VP OF MARKETING
Period of report
May 5, 2015
Accepted (ET)
May 11, 2015 · 5:47 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001040470
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 5, 2015 | M | 1,655 | $1.95 | A | 95,098 | D | |
| Common StockF1 | May 5, 2015 | S | 1,000 | $2.53 | D | 94,098 | D | |
| Common StockF1 | May 5, 2015 | S | 200 | $2.55 | D | 93,898 | D | |
| Common StockF1 | May 5, 2015 | S | 455 | $2.59 | D | 93,443 | D | |
| Common StockF1 | May 6, 2015 | M | 7,458 | $1.95 | A | 100,901 | D | |
| Common StockF1 | May 6, 2015 | S | 1,958 | $2.53 | D | 98,943 | D | |
| Common StockF1 | May 6, 2015 | S | 500 | $2.55 | D | 98,443 | D | |
| Common Stock | May 6, 2015 | S | 5,000 | $2.49 | D | 93,443 | D | |
| Common StockF2 | holding | — | — | — | 4,113 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (right to buy)F1,F3 | $1.95 | May 5, 2015 | M | 1,655 | D | Jul 29, 2010 | Jun 29, 2015 | Common Stock | 1,655 | 23,345 | D |
| Incentive Stock Option (right to buy)F1,F3 | $1.95 | May 6, 2015 | M | 7,458 | D | Jul 29, 2010 | Jun 29, 2015 | Common Stock | 7,458 | 15,887 | D |
Explanation of responses
- F1This amendment is being filed as the form 4 filed on 5/6/15 incorrectly stated the number of options exercised by the reporting person on May 5, 2015 and May 6, 2015, the number of shares sold by the reporting person on May 5, 2015 and May 6, 2015, and the form of ownership of those shares.
- F2Shares held directly by the Carl Buck Living Trust for which the reporting person serves as Trustee.
- F3One forty-eighth (1/48) of the total number of shares became exercisable on this date and an additional one forty-eighth (1/48) of the total number of shares became exercisable each month thereafter.