SEC Form 4 · accession 0000908662-16-000581
SEVCON, INC. · SEV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Ryan J. Morris
Officer — Executive Chairman · Director
Period of report
Aug 2, 2016
Accepted (ET)
Aug 4, 2016 · 12:57 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000825411
Table I — non-derivative securities
No Table I lines on this filing.
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)F1 | $10.93 | Aug 2, 2016 | A | 36,496 | A | — | Aug 31, 2020 | Common Stock | 36,496 | 36,496 | D |
| Stock Option (Right to Buy)F2 | $12.35 | Aug 2, 2016 | A | 39,547 | A | — | Aug 31, 2021 | Common Stock | 39,547 | 39,547 | D |
| Stock Option (Right to Buy)F3 | $13.78 | Aug 2, 2016 | A | 42,682 | A | — | Aug 31, 2022 | Common Stock | 42,682 | 42,682 | D |
| Stock Option (Right to Buy)F4 | $15.20 | Aug 2, 2016 | A | 45,904 | A | — | Aug 31, 2023 | Common Stock | 45,904 | 45,904 | D |
| Stock Option (Right to Buy)F5 | $16.63 | Aug 2, 2016 | A | 49,215 | A | — | Aug 31, 2024 | Common Stock | 49,215 | 49,215 | D |
Explanation of responses
- F1The option shall become exercisable in 12 substantially equal installments on the first day of each calendar month beginning September 2016.
- F2The option shall become exercisable in 12 substantially equal installments on the first day of each calendar month beginning September 2017.
- F3The option shall become exercisable in 12 substantially equal installments on the first day of each calendar month beginning September 2018.
- F4The option shall become exercisable in 12 substantially equal installments on the first day of each calendar month beginning September 2019.
- F5The option shall become exercisable in 12 substantially equal installments on the first day of each calendar month beginning September 2020.