SEC Form 3 · accession 0001567619-18-005905

ADESTO TECHNOLOGIES Corp · IOTS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — VP Worldwide Sales, Embed Sys

Period of report

Nov 1, 2018

Accepted (ET)

Nov 13, 2018 · 7:34 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001395848

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	holding	—	—		—	11,785	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right to buy)^F2	$6.15	holding	—	—	—	—	Sep 17, 2028	Common Stock	8,000	—	D
Employee Stock Option (right to buy)^F3	$6.15	holding	—	—	—	—	Sep 17, 2028	Common Stock	26,515	—	D

F1Each restricted stock unit ("RSU") represents a contingent right to receive one (1) share of the issuer's common stock upon settlement for no consideration. The RSUs will vest as to 25% of the total shares on 09/17/19, and will further vest in equal quarterly installments thereafter, with 100% of the RSUs vested on 09/17/22, subject to the Reporting Person's provision of service to the issuer on each vesting date. Shares of the issuer's common stock will be delivered to the Reporting Person following vesting.
F2The stock option vests and becomes exercisable as to 100% of the total shares on 12/31/19, subject to the Reporting Person's provision of service to the issuer through such vesting date.
F3The stock option vests and becomes exercisable as to 25% of the total shares on 09/17/19, with an additional 6.25% vesting in equal quarterly installments thereafter, with 100% of the total shares subject to the option vested on 09/17/22, subject to the Reporting Person's provision of service to the issuer on each vesting date