SEC Form 4 · accession 0000908662-17-000196
SEVCON, INC. · SEV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Ra Steadman
Director
Period of report
Sep 27, 2017
Accepted (ET)
Sep 29, 2017 · 12:45 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000825411
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 27, 2017 | D | 46,500 | $22.00 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Convertible Preferred StockF1,F2 | $8.00 | Sep 27, 2017 | D | 1,000 | D | Sep 8, 2014 | — | Common Stock | 3,000 | 0 | D |
Explanation of responses
- F1Disposed of pursuant to merger agreement by and among Issuer, BorgWarner Inc. and Slade Merger Sub Inc. for a cash payment of the per share price noted.
- F2The Series A Convertible Preferred Stock had no expiration date.