SEC Form 4/A · accession 0001437749-17-004432
PDF SOLUTIONS INC · PDFS
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
Lucio Lanza
Director
Period of report
Nov 8, 2016
Accepted (ET)
Mar 13, 2017 · 8:13 pm EDT
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 Stock | Nov 8, 2016 | M | 45,000 | $5.40 | A | 334,623 | D | |
| Common StockF1 | Nov 8, 2016 | S | 14,000 | $19.8925 | D | 320,623 | D | |
| Common Stock | holding | — | — | — | 121,720 | I | By Lanza tech Ventures |
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)F2 | $5.40 | Nov 8, 2016 | M | 45,000 | D | — | May 21, 2018 | Common Stock | 45,000 | 0 | D |
Explanation of responses
- F1Average 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 $19.865 to $19.915.
- F225% of the total shares subject to the option (the "Total Shares") vested on May 22, 2009 and 1/48th of the Total Shares vested on the 22nd day of each month thereafter; Fully vested as of May 22, 2012