SEC Form 4/A · accession 0001179110-18-014196
QUICKLOGIC Corp · QUIK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Timothy Saxe
Officer — Sr. VP and CTO
Period of report
Dec 18, 2018
Accepted (ET)
Dec 20, 2018 · 5:47 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000882508
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF5 | Dec 18, 2018 | M | 675 | $0.00 | A | 130,880 | D | |
| Common Stock | Dec 18, 2018 | F | 234 | $0.85 | D | 130,646 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1,F2 | $0.00 | Dec 18, 2018 | M | 675 | D | — | — | Common Stock | 675 | 0 | D |
Explanation of responses
- F1Each RSU represents a contingent right to receive one share of the Issuer's common stock.
- F225% of the RSUs vested on 12/18/2015, one year from the grant date. The balance of the shares vest 12.5% every six months beginning on June 18, 2016. Shares of the Issuers common stock will be delivered to the Reporting Person upon vesting.
- F3Exempt transaction pursuant to Section 16b3(e) payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b3. All of the shares reported as disposed of on this line were relinquished by the Reporting person and cancelled by the issuer in exchange for the Issuer's agreement to pay federal and state tax withholding obligations of the Reporting person resulting from the vesting of the RSUs.
- F4Vesting of Restricted Stock Units (RSUs) granted to the Reporting Person on December 18, 2014.
- F5Includes 8,824 shares of common stock acquired through the Issuer's employee stock purchase plan (the "ESPP") on May 14, 2018.