SEC Form 4 · accession 0001413753-17-000019
SEMTECH CORP · SMTC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sharon K Faltemier
Officer — Senior Vice President
Period of report
Feb 23, 2017
Accepted (ET)
Feb 27, 2017 · 4:39 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 | Feb 23, 2017 | M | 6,000 | $0.00 | A | 12,543 | D | |
| Common Stock | Feb 23, 2017 | F | 2,336 | $35.90 | D | 10,207 | D | |
| Common Stock | Feb 24, 2017 | M | 3,333 | $0.00 | A | 13,540 | D | |
| Common Stock | Feb 24, 2017 | F | 1,253 | $34.75 | D | 12,287 | D | |
| Common Stock | Feb 25, 2017 | M | 2,500 | $0.00 | A | 14,787 | D | |
| Common Stock | Feb 25, 2017 | F | 940 | $34.40 | D | 13,847 | D | |
| Common Stock | Feb 26, 2017 | M | 5,000 | $0.00 | A | 18,847 | D | |
| Common Stock | Feb 26, 2017 | F | 1,879 | $34.40 | D | 16,968 | 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 | — | Feb 23, 2017 | M | 6,000 | D | — | — | Common Stock | 6,000 | 12,000 | D |
| Restricted Stock UnitF1,F3 | — | Feb 24, 2017 | M | 3,333 | D | — | — | Common Stock | 3,333 | 3,334 | D |
| Restricted Stock UnitF1,F4 | — | Feb 25, 2017 | M | 2,500 | D | — | — | Common Stock | 2,500 | 0 | D |
| Restricted Stock UnitF1,F5 | — | Feb 26, 2017 | M | 5,000 | D | — | — | Common Stock | 5,000 | 0 | D |
Explanation of responses
- F1Each Restricted Stock Unit represents the contingent right to one share of the company's common stock.
- F2This grant vests in three annual installments beginning on February 23, 2017.
- F3This grant vests in three annual installments beginning on February 24, 2016.
- F4This grant vests in three annual installments beginning on February 25, 2015.
- F5This grant vests in four annual installments beginning on February 26, 2014.