SEC Form 4 · accession 0001413753-16-000210
SEMTECH CORP · SMTC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rockell N Hankin
Director
Period of report
Dec 5, 2016
Accepted (ET)
Dec 7, 2016 · 9:07 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000088941
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 5, 2016 | M | 5,000 | $27.60 | A | 164,940 | D | |
| Common Stock | Dec 5, 2016 | M | 5,000 | $25.25 | A | 169,940 | D | |
| Common Stock | Dec 5, 2016 | M | 3,750 | $29.68 | A | 173,690 | D | |
| Common Stock | Dec 5, 2016 | M | 2,500 | $24.94 | A | 176,190 | D | |
| Common Stock | Dec 5, 2016 | M | 1,250 | $28.06 | A | 177,440 | D | |
| Common Stock | Dec 5, 2016 | M | 5,000 | $24.46 | A | 182,440 | D | |
| Common Stock | Dec 5, 2016 | M | 2,500 | $26.59 | A | 184,940 | D | |
| Common StockF1 | Dec 5, 2016 | S | 25,000 | $30.396 | D | 159,940 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $27.60 | Dec 5, 2016 | M | 5,000 | D | — | Jul 1, 2017 | Common Stock | 5,000 | 0 | D |
| Stock Option (Right to Buy)F3 | $25.25 | Dec 5, 2016 | M | 5,000 | D | — | Jan 1, 2018 | Common Stock | 5,000 | 0 | D |
| Stock Option (Right to Buy)F4 | $29.68 | Dec 5, 2016 | M | 3,750 | D | — | Jan 1, 2019 | Common Stock | 3,750 | 1,250 | D |
| Stock Option (Right to Buy)F5 | $24.94 | Dec 5, 2016 | M | 2,500 | D | — | Jan 1, 2020 | Common Stock | 2,500 | 2,500 | D |
| Stock Option (Right to Buy)F6 | $28.06 | Dec 5, 2016 | M | 1,250 | D | — | Jan 1, 2021 | Common Stock | 1,250 | 3,750 | D |
| Stock Option (Right to Buy)F7 | $24.46 | Dec 5, 2016 | M | 5,000 | D | — | Jul 1, 2018 | Common Stock | 5,000 | 0 | D |
| Stock Option (Right to Buy)F8 | $26.59 | Dec 5, 2016 | M | 2,500 | D | — | Jul 1, 2020 | Common Stock | 2,500 | 2,500 | D |
Explanation of responses
- F1This price reflects the weighted average of all sales for this day. The prices ranged from $30.1250 to $30.8250. Price and share details are available upon request.
- F2This award vests in four annual installments beginning on July 1, 2012.
- F3This award vests in four annual installments beginning on January 1, 2013.
- F4This award vests in four annual installments beginning on January 1, 2014.
- F5This award vests in four annual installments beginning on January 1, 2015.
- F6This award vests in four annual installments beginning on January 1, 2016.
- F7This award vests in four annual installments beginning on July 1, 2013.
- F8This award vests in four annual installments beginning on July 1, 2015.