SEC Form 4/A · accession 0000908662-16-000596
SEVCON, INC. · SEV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Ryan J. Morris
Officer — Executive Chairman · Director
Period of report
Aug 2, 2016
Accepted (ET)
Nov 2, 2016 · 10:23 am 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)F3,F2 | $12.35 | Aug 2, 2016 | A | 20,204 | A | — | Aug 31, 2021 | Common Stock | 20,204 | 20,204 | 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 reporting person previously reported grants of stock options to purchase an aggregate of 213,844 shares of common stock under the registrant's 1996 Equity Incentive Plan. The registrant has determined that 157,144 of those options were not validly granted because they exceeded the Plan's limit on the aggregate number of shares subject to awards that may be granted to an individual participant in any calendar year. The reporting person is filing this amendment to report the correct number of stock options granted.