SEC Form 4 · accession 0001603814-17-000067
Renesas Electronics America Inc.
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Xianzhi Sean Fan
Officer — Sr Vice President&Corporate GM
Period of report
Nov 6, 2017
Accepted (ET)
Nov 8, 2017 · 2:28 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000703361
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 6, 2017 | M | 33,312 | $12.16 | A | 138,993 | D | |
| Common Stock | Nov 6, 2017 | M | 5,625 | $7.67 | A | 144,618 | D | |
| Common StockF1 | Nov 6, 2017 | S | 67,041 | $31.72 | D | 77,577 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F2 | $7.67 | Nov 6, 2017 | M | 5,625 | D | — | May 15, 2020 | Common Stock | 5,625 | 0 | D |
| Non-Qualified Stock Option (right to buy)F3 | $12.16 | Nov 6, 2017 | M | 33,312 | D | — | May 15, 2021 | Common Stock | 33,312 | 5,688 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $31.49 to $31.89 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F2The option vested 25% on 05/15/2014 the remaining balance vests monthly through 5/15/2017.
- F3The option vested 25% on 05/15/2015 the remaining balance vests monthly through 5/15/2018.