SEC Form 4 · accession 0001209191-16-154241
SYNAPTICS Inc · SYNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rick Bergman
Officer — President and CEO · Director
Period of report
Dec 6, 2016
Accepted (ET)
Dec 8, 2016 · 6:20 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000817720
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 6, 2016 | M | 1,100 | $23.25 | A | 96,588 | D | |
| Common StockF2 | Dec 6, 2016 | S | 1,100 | $55.0209 | D | 95,488 | D | |
| Common Stock | Dec 7, 2016 | M | 4,889 | $23.25 | A | 100,377 | D | |
| Common StockF3 | Dec 7, 2016 | S | 4,889 | $55.0258 | D | 95,488 | D | |
| Common Stock | Dec 8, 2016 | M | 4,011 | $23.25 | A | 99,499 | D | |
| Common StockF4 | Dec 8, 2016 | S | 4,011 | $55.0158 | D | 95,488 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F5 | $23.25 | Dec 6, 2016 | M | 1,100 | D | — | Sep 28, 2018 | Common Stock | 1,100 | 106,400 | D |
| Employee Stock Option (Right to Buy)F5 | $23.25 | Dec 7, 2016 | M | 4,889 | D | — | Sep 28, 2018 | Common Stock | 4,889 | 101,511 | D |
| Employee Stock Option (Right to Buy)F5 | $23.25 | Dec 8, 2016 | M | 4,011 | D | — | Sep 28, 2018 | Common Stock | 4,011 | 97,500 | D |
Explanation of responses
- F1The shares were sold pursuant to a 10b5-1 Trading Plan dated August 22, 2016.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $55.00 to $55.20, inclusive. The reporting person undertakes to provide to Synaptics Incorporated (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $55.00 to $55.16, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $55.00 to $55.16 inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.
- F525% of the total number of shares subject to the option vested and became exercisable on the twelve month anniversary of the September 28, 2011 grant date, and 1/48th of the total number of shares subject to the option vested and became exercisable on the 28th day of each month thereafter, until fully vested on September 28, 2015.