SEC Form 4 · accession 0001437749-15-002434
PDF SOLUTIONS INC · PDFS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cornelis Hartgring
Officer — Vice President, CSS
Period of report
Feb 10, 2015
Accepted (ET)
Feb 11, 2015 · 9:56 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001120914
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 10, 2015 | M | 65,600 | $8.92 | A | 100,312 | D | |
| Common StockF2 | Feb 10, 2015 | S | 65,600 | $17.48 | D | 34,712 | D | |
| Common Stock | Feb 11, 2015 | M | 14,400 | $8.92 | A | 49,112 | D | |
| Common Stock | Feb 11, 2015 | M | 20,000 | $8.79 | A | 69,112 | D | |
| Common StockF3 | Feb 11, 2015 | S | 34,400 | $17.57 | D | 34,712 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy) | $8.92 | Feb 10, 2015 | M | 65,600 | A | Nov 7, 2008 | Nov 6, 2017 | Common Stock | 65,600 | 14,400 | D |
| Stock Options (Right to Buy) | $8.92 | Feb 11, 2015 | M | 14,400 | A | Nov 7, 2008 | Nov 6, 2017 | Common Stock | 14,400 | 0 | D |
| Stock Options (Right to Buy) | $8.79 | Feb 11, 2015 | M | 12,500 | A | Jun 22, 2012 | May 21, 2021 | Common Stock | 12,500 | 7,500 | D |
| Stock Options (Right to Buy) | $8.79 | Feb 11, 2015 | M | 7,500 | A | May 22, 2012 | May 21, 2021 | Common Stock | 7,500 | 2,500 | D |
Explanation of responses
- F1Includes 1,018 shares of common stock that were purchased on January 31, 2015 under the PDF Employee Stock Purchase Plan.
- F2Average weighted sale price for shares disposed of in the reported transaction. The shares were sold in multiple brokers' transactions at various market prices per share ranging from $17.00 to $17.68.
- F3Average weighted sale price for shares disposed of in the reported transaction. The shares were sold in multiple brokers' transactions at various market prices per share ranging from $17.32 to $17.76.