SEC Form 4 · accession 0001209191-16-146252
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
Oct 17, 2016
Accepted (ET)
Oct 18, 2016 · 8:45 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 | Oct 17, 2016 | M | 7,000 | $10.46 | A | 50,502 | D | |
| Common StockF3 | Oct 17, 2016 | S | 7,000 | $19.72 | D | 43,502 | 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)F4 | $10.46 | Oct 17, 2016 | M | 7,000 | D | — | Apr 19, 2017 | Common Stock | 7,000 | 0 | D |
Explanation of responses
- F1Transaction pursuant to Rule 10b5-1 Plan adopted September 14, 2016.
- F2Includes 1,037 shares acquired pursuant to the Issuer's Amended and Restated 2003 Employee Stock Purchase Plan on June 30, 2016.
- F3The price in Column 4 is a weighted average sale price. The prices actually received ranged from $19.57 to $19.80. 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.
- F4Fully vested.