SEC Form 4 · accession 0001209191-15-083783
PMC SIERRA INC · PMCS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard N Nottenburg
Director
Period of report
Dec 3, 2015
Accepted (ET)
Dec 7, 2015 · 4:51 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000767920
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 3, 2015 | M | 55,845 | $5.68 | A | 71,860 | D | |
| Common Stock | Dec 3, 2015 | M | 24,000 | $6.08 | A | 95,860 | D | |
| Common Stock | Dec 3, 2015 | M | 24,000 | $6.255 | A | 119,860 | D | |
| Common StockF1 | Dec 3, 2015 | S | 103,845 | $11.90 | D | 16,015 | D | |
| Common StockF2,F3 | Dec 4, 2015 | S | 48,621 | $11.9207 | D | 0 | D |
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)F4 | $5.68 | Dec 3, 2015 | M | 55,845 | D | — | Sep 6, 2021 | Common Stock | 55,845 | 0 | D |
| Stock Option (Right to Buy)F4 | $6.08 | Dec 3, 2015 | M | 24,000 | D | — | Jun 4, 2023 | Common Stock | 24,000 | 0 | D |
| Stock Option (Right to Buy)F4 | $6.255 | Dec 3, 2015 | M | 24,000 | D | — | Jun 5, 2022 | Common Stock | 24,000 | 0 | D |
Explanation of responses
- F1The sale price reported in Table 1 represents the weighted average sale price of the shares sold ranging from $11.895 to $11.915 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
- F2The sale price reported in Table 1 represents the weighted average sale price of the shares sold ranging from $11.92 to $11.925 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
- F3Since the Reporting Person's last report, the jointly held account by Richard N. Nottenburg and Janet G. Nottenburg received 18,621 shares from the direct account of Richard N. Nottenburg.
- F4Fully vested.