SEC Form 4/A · accession 0001437749-17-007891
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
Gregory C Walker
Officer — CFO, VP Finance
Period of report
Nov 8, 2013
Accepted (ET)
May 3, 2017 · 8:38 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, 2013 | M | 3,750 | $6.09 | A | 15,598 | D | |
| Common StockF1,F2 | Nov 8, 2013 | S | 4,292 | $22.799 | D | 11,306 | D | |
| Common StockF4 | Nov 1, 2015 | F | 454 | $10.56 | D | 21,152 | 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) | $6.09 | Nov 8, 2013 | M | 3,750 | A | Nov 8, 2013 | Nov 7, 2022 | Common Stock | 3,750 | 172,500 | 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 $22.777 to $22.83.
- F2The purpose of this amendment is to correct the arithmetical error to increase the total amount by 3750 shares, which were inadvertently subtracted from the total amount on Form 4 filed on 11/12/2013 and all following filings through this Form.
- F3This represents a disposition of shares to the Company to satisfy tax withholding obligations with respect to the vesting of Restricted Stock rights. This is not a sale of shares in the market.
- F4The purpose of this amendment is to correct the arithmetical error in the total amount including 474 shares of common stock purchased under the Employee's Stock Purchase Plan on Form 4 filed on 11/1/2015 and all following filings through this Form.