SEC Form 4 · accession 0001213184-16-000062

NEWPORT CORP · NEWP

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

Reporting owner

Officer — Sr. VP, General Counsel & Sec.

Period of report

Mar 15, 2016

Accepted (ET)

Mar 16, 2016 · 7:28 pm EDT

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 15, 2016	M	33,420	$4.18	A	113,238	D
Common Stock	Mar 15, 2016	D	6,103	$22.89	D	107,135	D
Common Stock^F3	Mar 16, 2016	S	10,280	$22.9127	D	96,855	D
Common Stock^F4	holding	—	—		—	17,971	I	Held in family trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock-settled stock appreciation right^F5	$4.18	Mar 15, 2016	M	33,420	D	—	Mar 20, 2016	Common Stock	33,420	0	D

F1Reflects the disposition of shares to the issuer deemed to occur upon the exercise of a stock appreciation right (such shares having a total value at the time of exercise equal to the aggregate base value of the stock appreciation right).
F2Shares were sold to satisfy the reporting person's tax withholding obligation upon the exercise of a stock appreciation right.
F3Reflects the weighted-average sale price for an aggregate of 10,280 shares sold in multiple transactions at prices ranging from $22.90 to $22.93 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.
F4Shares are held by reporting person as trustee of a family trust.
F5Stock appreciation right became fully vested on March 20, 2012.