SEC Form 4 · accession 0001213184-15-000014
NEWPORT CORP · NEWP
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter J Simone
Director
Period of report
Mar 3, 2015
Accepted (ET)
Mar 5, 2015 · 6:11 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000225263
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 3, 2015 | M | 7,500 | $13.86 | A | 47,278 | D | |
| Common StockF1 | Mar 3, 2015 | S | 7,500 | $19.8722 | D | 39,778 | D | |
| Common StockF2 | holding | — | — | — | 8,734 | I | Held in Deferred Compensation Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy) | $13.86 | Mar 3, 2015 | M | 7,500 | D | Jan 3, 2007 | Jan 2, 2016 | Common Stock | 7,500 | 0 | D |
Explanation of responses
- F1Reflects the weighted-average sale price for an aggregate of 7,500 shares sold in multiple transactions at prices ranging from $19.79 to $19.94 per share. Reporting person undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F28,734 restricted stock units are held in the issuer's Deferred Compensation Plan for the benefit of reporting person.