SEC Form 4 · accession 0001127602-18-023933
AVX Corp · AVX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kurt P Cummings
Officer — Exec VP, CFO & Treasurer
Period of report
Jul 26, 2018
Accepted (ET)
Jul 27, 2018 · 11:10 am 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 26, 2018 | M | 11,060 | $11.25 | A | 22,812 | D | |
| Common Stock | Jul 26, 2018 | S | 11,060 | $18.87 | D | 11,752 | D | |
| Common Stock | Jul 26, 2018 | M | 18,940 | $11.25 | A | 30,692 | D | |
| Common Stock | Jul 26, 2018 | S | 18,940 | $18.87 | D | 11,752 | D | |
| Common Stock | Jul 26, 2018 | M | 8,673 | $13.32 | A | 20,425 | D | |
| Common Stock | Jul 26, 2018 | S | 8,673 | $18.87 | D | 11,752 | D | |
| Common Stock | Jul 26, 2018 | M | 21,327 | $13.32 | A | 33,079 | D | |
| Common Stock | Jul 26, 2018 | S | 21,327 | $18.87 | D | 11,752 | D | |
| Common Stock | holding | — | — | — | 13,676 | I | By Retirement Plan Trustees |
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 26, 2018 | M | 11,060 | D | Apr 26, 2014 | Apr 26, 2023 | Common Stock | 11,060 | 0 | D |
| Non-Qualified Stock Option (Right to Buy) | $11.25 | Jul 26, 2018 | M | 18,940 | D | Apr 26, 2014 | Apr 26, 2023 | Common Stock | 18,940 | 0 | D |
| Incentive Stock Option (Right to Buy) | $13.32 | Jul 26, 2018 | M | 8,673 | D | Apr 24, 2015 | Apr 24, 2024 | Common Stock | 8,673 | 0 | D |
| Non-Qualified Stock Option (Right to Buy) | $13.32 | Jul 26, 2018 | M | 21,327 | D | Apr 24, 2015 | Apr 24, 2024 | Common Stock | 21,327 | 0 | D |