SEC Form 4 · accession 0001127602-17-016030
AVX Corp · AVX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Sarvis
Officer — Chairman of Board, CEO, Pres · Director
Period of report
Apr 29, 2017
Accepted (ET)
May 1, 2017 · 4:26 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000859163
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 29, 2017 | A | 4,400 | $16.91 | A | 4,400 | D | |
| Common Stock | Apr 29, 2017 | F | 1,503 | $16.91 | D | 2,897 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Service RSU AwardF2 | — | Apr 29, 2017 | D | 2,000 | D | — | — | Common Stock | 2,000 | 4,000 | D |
Explanation of responses
- F1Includes the service-based and performance-based units vested on 04/29/2017.
- F2The restricted stock units vest annually over a three-year period. The restricted stock units each convert into common stock on a one for one basis.