SEC Form 4 · accession 0001209191-16-144982
PLEXUS CORP · PLXS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dean A Foate
Director · Other
Period of report
Oct 3, 2016
Accepted (ET)
Oct 5, 2016 · 4:34 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000785786
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $.01 par valueF2 | Oct 3, 2016 | M | 31,000 | — | A | 211,907 | D | |
| Common Stock, $.01 par valueF2 | Oct 3, 2016 | M | 34,200 | — | A | 246,107 | D | |
| Common Stock, $.01 par valueF2 | Oct 3, 2016 | M | 34,900 | — | A | 281,007 | D | |
| Common Stock, $.01 par value | Oct 3, 2016 | F | 49,651 | $46.802 | D | 231,356 | D | |
| Common Stock, $.01 par valueF1 | holding | — | — | — | 8,140 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3 | — | Oct 3, 2016 | A | 45,778 | A | — | — | Common Stock | 45,778 | 45,778 | D |
| Restricted Stock UnitsF2 | — | Oct 3, 2016 | M | 31,000 | D | — | — | Common Stock | 31,000 | 0 | D |
| Restricted Stock UnitsF2 | — | Oct 3, 2016 | M | 34,200 | D | — | — | Common Stock | 34,200 | 0 | D |
| Restricted Stock UnitsF2 | — | Oct 3, 2016 | M | 34,900 | D | — | — | Common Stock | 34,900 | 0 | D |
Explanation of responses
- F1Shares of Plexus Corp. common stock held in the Plexus Corp. Employee Stock Purchase Plan as of the last report from the Plan's Trustee.
- F2Each Restricted Stock Unit granted under the Plexus Corp. 2008 Long-Term Incentive Plan, which qualifies under Rule 16b-3, represented a contingent right to receive one share of Plexus Corp. common stock. The Restricted Stock Units vested and settled (and the Reporting Person's outstanding stock options vested) on October 3, 2016, pursuant to the Reporting Person's previously disclosed Retirement and Transition Agreement.
- F3Each Restricted Stock Unit granted under the Plexus Corp. 2016 Omnibus Incentive Plan, which qualifies under Rule 16b-3, represents a contingent right to receive one share of Plexus Corp. common stock. The Restricted Stock Units vest on October 3, 2017.