SEC Form 4 · accession 0001127602-18-017855
AVX Corp · AVX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael E Hufnagel
Other
Period of report
Jul 29, 2016
Accepted (ET)
May 17, 2018 · 3:13 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 Stock | Jul 29, 2016 | M | 500 | $11.25 | A | 500 | D | |
| Common Stock | Jul 29, 2016 | S | 500 | $13.65 | D | 0 | D | |
| Common Stock | Jul 29, 2016 | M | 500 | $10.90 | A | 500 | D | |
| Common Stock | Jul 29, 2016 | S | 500 | $13.65 | D | 0 | D | |
| Common Stock | Jan 25, 2017 | M | 1,000 | $13.32 | A | 1,000 | D | |
| Common Stock | Jan 25, 2017 | S | 1,000 | $16.53 | D | 0 | D | |
| Common Stock | Jan 25, 2017 | M | 1,500 | $14.55 | A | 1,500 | D | |
| Common Stock | Jan 25, 2017 | S | 1,500 | $16.53 | D | 0 | D | |
| Common Stock | Jan 25, 2017 | M | 2,000 | $14.58 | A | 2,000 | D | |
| Common Stock | Jan 25, 2017 | S | 2,000 | $16.53 | D | 0 | D | |
| Common Stock | Apr 29, 2017 | M | 667 | $16.91 | A | 667 | D | |
| Common Stock | Apr 29, 2017 | M | 800 | $16.91 | A | 1,467 | D | |
| Common Stock | Apr 29, 2017 | F | 265 | $16.91 | D | 1,202 | D | |
| Common Stock | Apr 29, 2017 | F | 318 | $16.91 | D | 884 | D | |
| Common Stock | May 1, 2017 | A | 3,000 | $16.86 | A | 3,884 | D | |
| Common Stock | May 1, 2017 | M | 500 | $11.25 | A | 4,384 | D | |
| Common Stock | May 1, 2017 | S | 500 | $16.90 | D | 3,884 | D | |
| Common Stock | May 1, 2017 | M | 1,000 | $13.32 | A | 4,884 | D | |
| Common Stock | May 1, 2017 | S | 1,000 | $16.79 | D | 3,884 | D | |
| Common Stock | May 1, 2017 | M | 1,500 | $14.55 | A | 5,384 | D | |
| Common Stock | May 1, 2017 | S | 1,500 | $16.66 | D | 3,884 | D | |
| Common Stock | Apr 29, 2018 | M | 666 | $14.63 | A | 4,550 | D | |
| Common Stock | Apr 29, 2018 | F | 245 | $14.63 | D | 4,305 | D | |
| Common Stock | May 1, 2018 | A | 1,800 | $14.93 | A | 6,105 | D | |
| Common Stock | May 1, 2018 | F | 660 | $14.93 | D | 5,445 | D | |
| Common Stock | May 1, 2018 | F | 367 | $14.93 | D | 5,078 | D | |
| Common Stock | May 1, 2018 | A | 4,000 | $14.93 | A | 9,078 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (Right to Buy) | $11.25 | Jul 29, 2016 | M | 500 | D | Apr 26, 2014 | Apr 26, 2023 | Common Stock | 500 | 500 | D |
| Incentive Stock Option (Right to Buy) | $10.90 | Jul 29, 2016 | M | 500 | D | May 17, 2013 | May 17, 2022 | Common Stock | 500 | 0 | D |
| Incentive Stock Option (Right to Buy) | $13.32 | Jan 25, 2017 | M | 1,000 | D | Apr 24, 2015 | Apr 24, 2024 | Common Stock | 1,000 | 2,000 | D |
| Incentive Stock Option (Right to Buy) | $14.55 | Jan 25, 2017 | M | 1,500 | D | Apr 16, 2016 | Apr 16, 2025 | Common Stock | 1,500 | 4,500 | D |
| Incentive Stock Option (Right to Buy) | $14.58 | Jan 25, 2017 | M | 2,000 | D | Jun 24, 2012 | Jun 24, 2021 | Common Stock | 2,000 | 0 | D |
| Service RSU AwardF1 | — | Apr 29, 2017 | M | 667 | D | — | — | Common Stock | 667 | 1,333 | D |
| Performance RSU AwardF2 | — | Apr 29, 2017 | M | 800 | D | Apr 29, 2017 | — | Common Stock | 800 | 0 | D |
| Incentive Stock Option (Right to Buy) | $11.25 | May 1, 2017 | M | 500 | D | Apr 26, 2014 | Apr 26, 2023 | Common Stock | 500 | 0 | D |
| Incentive Stock Option (Right to Buy) | $13.32 | May 1, 2017 | M | 1,000 | D | Apr 24, 2015 | Apr 24, 2024 | Common Stock | 1,000 | 1,000 | D |
| Incentive Stock Option (Right to Buy) | $14.55 | May 1, 2017 | M | 1,500 | D | Apr 16, 2016 | Apr 16, 2025 | Common Stock | 1,500 | 3,000 | D |
| Service RSU AwardF1 | — | Apr 29, 2018 | M | 666 | D | — | — | Common Stock | 666 | 667 | D |
Explanation of responses
- F1The 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.
- F2The performance award is subject to meeting certain performance targets and will vest in one-year. The restricted stock units each convert into common stock on a one for one basis.
- F3Withholding of shares for the payment of the tax liability associated with the vesting of shares of common stock