SEC Form 4 · accession 0001209191-15-072040
ONTO INNOVATION INC. · ONTO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin Heidrich
Officer — Senior VP, Marketing
Period of report
Sep 21, 2015
Accepted (ET)
Sep 23, 2015 · 8:56 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000704532
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Sep 21, 2015 | M | 10,000 | $2.38 | A | 52,256 | D | |
| Common StockF3 | Sep 21, 2015 | S | 10,000 | $13.32 | D | 42,256 | D | |
| Common StockF4 | Sep 21, 2015 | S | 7,425 | $13.31 | D | 34,831 | 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)F5 | $2.38 | Sep 21, 2015 | M | 10,000 | D | — | Jun 18, 2016 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1Transaction pursuant to Rule 10b5-1 Plan adopted August 18, 2015.
- F2Includes 928 shares acquired pursuant to the Issuer's Amended and Restated 2003 Employee Stock Purchase Plan on June 30, 2015.
- F3The price in Column 4 is a weighted average sale price. The prices actually received ranged from $13.05 to $13.89. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
- F4The price in Column 4 is a weighted average sale price. The prices actually received ranged from $13.05 to $13.69. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
- F5Fully vested.