SEC Form 4 · accession 0001413753-17-000020
SEMTECH CORP · SMTC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Jungsup Kim
Officer — Senior Vice President
Period of report
Feb 23, 2017
Accepted (ET)
Feb 27, 2017 · 4:43 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 | 18,333 | $0.00 | A | 33,461 | D | |
| Common Stock | Feb 23, 2017 | F | 6,977 | $35.90 | D | 26,484 | D | |
| Common Stock | Feb 24, 2017 | M | 5,000 | $0.00 | A | 31,484 | D | |
| Common Stock | Feb 24, 2017 | F | 1,880 | $34.75 | D | 29,604 | D | |
| Common Stock | Feb 25, 2017 | M | 4,000 | $0.00 | A | 33,604 | D | |
| Common Stock | Feb 25, 2017 | F | 1,504 | $34.40 | D | 32,100 | 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 | 18,333 | D | — | — | Common Stock | 18,333 | 36,667 | D |
| Restricted Stock UnitF1,F3 | — | Feb 24, 2017 | M | 5,000 | D | — | — | Common Stock | 5,000 | 5,000 | D |
| Restricted Stock UnitF1,F4 | — | Feb 25, 2017 | M | 4,000 | D | — | — | Common Stock | 4,000 | 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.