SEC Form 4 · accession 0001209191-15-084010
PMC SIERRA INC · PMCS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan Judge
Director
Period of report
Dec 4, 2015
Accepted (ET)
Dec 8, 2015 · 5:03 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 4, 2015 | M | 10,000 | $10.33 | A | 111,176 | D | |
| Common Stock | Dec 4, 2015 | M | 10,000 | $6.68 | A | 121,176 | D | |
| Common Stock | Dec 4, 2015 | M | 10,000 | $7.31 | A | 131,176 | D | |
| Common Stock | Dec 4, 2015 | M | 24,000 | $8.06 | A | 155,176 | D | |
| Common Stock | Dec 4, 2015 | M | 24,000 | $7.72 | A | 179,176 | D | |
| Common Stock | Dec 4, 2015 | M | 24,000 | $7.68 | A | 203,176 | D | |
| Common Stock | Dec 4, 2015 | M | 28,125 | $6.08 | A | 231,301 | D | |
| Common Stock | Dec 4, 2015 | M | 10,000 | $10.15 | A | 241,301 | D | |
| Common Stock | Dec 4, 2015 | M | 24,000 | $7.85 | A | 265,301 | D | |
| Common Stock | Dec 4, 2015 | M | 24,000 | $7.50 | A | 289,301 | D | |
| Common Stock | Dec 4, 2015 | M | 6,338 | $5.68 | A | 295,639 | D | |
| Common Stock | Dec 4, 2015 | M | 24,000 | $6.255 | A | 319,639 | D | |
| Common Stock | Dec 4, 2015 | M | 24,000 | $6.08 | A | 343,639 | D | |
| Common Stock | Dec 4, 2015 | M | 10,000 | $7.44 | A | 353,639 | D | |
| Common StockF1 | Dec 4, 2015 | S | 252,463 | $11.941 | D | 101,176 | 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)F2 | $10.33 | Dec 4, 2015 | M | 10,000 | D | — | Feb 21, 2016 | Common Stock | 10,000 | 0 | D |
| Stock Option (Right to Buy)F2 | $6.68 | Dec 4, 2015 | M | 10,000 | D | — | Aug 30, 2016 | Common Stock | 10,000 | 0 | D |
| Stock Option (Right to Buy)F2 | $7.31 | Dec 4, 2015 | M | 10,000 | D | — | Feb 26, 2017 | Common Stock | 10,000 | 0 | D |
| Stock Option (Right to Buy)F2 | $8.06 | Dec 4, 2015 | M | 24,000 | D | — | May 6, 2018 | Common Stock | 24,000 | 0 | D |
| Stock Option (Right to Buy)F2 | $7.72 | Dec 4, 2015 | M | 24,000 | D | — | Jun 2, 2019 | Common Stock | 24,000 | 0 | D |
| Stock Option (Right to Buy)F2 | $7.68 | Dec 4, 2015 | M | 24,000 | D | — | Jun 5, 2017 | Common Stock | 24,000 | 0 | D |
| Stock Option (Right to Buy)F2 | $6.08 | Dec 4, 2015 | M | 28,125 | D | — | Jun 4, 2023 | Common Stock | 28,125 | 0 | D |
| Stock Option (Right to Buy)F2 | $10.15 | Dec 4, 2015 | M | 10,000 | D | — | Jun 1, 2016 | Common Stock | 10,000 | 0 | D |
| Stock Option (Right to Buy)F2 | $7.85 | Dec 4, 2015 | M | 24,000 | D | — | Jun 1, 2020 | Common Stock | 24,000 | 0 | D |
| Stock Option (Right to BuyF2 | $7.50 | Dec 4, 2015 | M | 24,000 | D | — | Jun 7, 2021 | Common Stock | 24,000 | 0 | D |
| Stock Option (Right to BuyF2 | $5.68 | Dec 4, 2015 | M | 6,338 | D | — | Sep 6, 2021 | Common Stock | 6,338 | 0 | D |
| Stock Option (Right to BuyF2 | $6.255 | Dec 4, 2015 | M | 24,000 | D | — | Jun 5, 2022 | Common Stock | 24,000 | 0 | D |
| Stock Option (Right to Buy)F2 | $6.08 | Dec 4, 2015 | M | 24,000 | D | — | Jun 4, 2023 | Common Stock | 24,000 | 0 | D |
| Stock Option (Right to Buy)F2 | $7.44 | Dec 4, 2015 | M | 10,000 | D | — | Nov 28, 2016 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1The sale price reported in Table 1 represents the weighted average sale price of the shares sold ranging from $11.88 to $11.985 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.
- F2Fully vested.