SEC Form 4 · accession 0000855658-18-000127
LATTICE SEMICONDUCTOR CORP · LSCC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Maxwell J Downing
Officer — CFO
Period of report
Aug 31, 2018
Accepted (ET)
Sep 4, 2018 · 8:53 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000855658
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 31, 2018 | M | 10,496 | $5.40 | A | 36,367 | D | |
| Common Stock | Aug 31, 2018 | M | 21,897 | $7.54 | A | 58,264 | D | |
| Common Stock | Aug 31, 2018 | M | 26,247 | $5.85 | A | 84,511 | D | |
| Common Stock | Aug 31, 2018 | M | 23,561 | $5.88 | A | 108,072 | D | |
| Common Stock | Aug 31, 2018 | M | 17,121 | $5.73 | A | 125,193 | D | |
| Common StockF1 | Aug 31, 2018 | S | 99,322 | $8.1282 | D | 25,871 | D | |
| Common StockF1 | Aug 31, 2018 | S | 19,538 | $8.1305 | D | 6,333 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F2 | $5.40 | Aug 31, 2018 | M | 10,496 | D | Jun 25, 2013 | Mar 25, 2020 | Common Stock | 10,496 | 0 | D |
| Non-Qualified Stock Option (right to buy)F3 | $5.73 | Aug 31, 2018 | M | 17,121 | D | Jan 18, 2018 | Oct 18, 2024 | Common Stock | 17,121 | 62,779 | D |
| Non-Qualified Stock Option (right to buy)F2 | $5.85 | Aug 31, 2018 | M | 26,247 | D | Oct 9, 2015 | Jul 9, 2022 | Common Stock | 26,247 | 8,749 | D |
| Non-Qualified Stock Option (right to buy)F2 | $5.88 | Aug 31, 2018 | M | 23,561 | D | Oct 19, 2016 | Jul 19, 2023 | Common Stock | 23,561 | 23,562 | D |
| Non-Qualified Stock Option (right to buy)F2 | $7.54 | Aug 31, 2018 | M | 21,897 | D | Jun 21, 2014 | Mar 21, 2021 | Common Stock | 21,897 | 0 | D |
Explanation of responses
- F1The price indicated is the weighted average sale price for the shares sold. The individual sale prices for the shares indicated range from $8.10 to $8.15.
- F2This option to purchase shares of common stock becomes exercisable over a four year period where in 1/16th (6.25%) of the total shares granted vest on each quarterly anniversary of the grant date.
- F3This option to purchase shares of common stock becomes exercisable over a three and half year period where in 1/14th of the total shares granted vest on each quarterly anniversary of the grant date.