SEC Form 4 · accession 0001593968-18-000614
SEMTECH CORP · SMTC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rockell N Hankin
Director
Period of report
Mar 19, 2018
Accepted (ET)
Mar 21, 2018 · 4:58 pm EDT
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 | Mar 19, 2018 | M | 2,500 | $24.94 | A | 157,440 | D | |
| Common Stock | Mar 19, 2018 | M | 1,250 | $29.68 | A | 158,690 | D | |
| Common Stock | Mar 19, 2018 | M | 2,500 | $28.06 | A | 161,190 | D | |
| Common Stock | Mar 19, 2018 | M | 5,000 | $35.17 | A | 166,190 | D | |
| Common Stock | Mar 19, 2018 | M | 1,250 | $26.59 | A | 167,440 | D | |
| Common StockF1 | Mar 19, 2018 | S | 1,250 | $40.0605 | D | 166,190 | D | |
| Common StockF1 | Mar 19, 2018 | S | 2,500 | $40.0605 | D | 163,690 | D | |
| Common StockF1 | Mar 19, 2018 | S | 1,250 | $40.0605 | D | 162,440 | D | |
| Common StockF1 | Mar 19, 2018 | S | 5,000 | $40.0605 | D | 157,440 | D | |
| Common StockF1 | Mar 19, 2018 | S | 2,500 | $40.0605 | D | 154,940 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (right to buy)F2 | $24.94 | Mar 19, 2018 | M | 2,500 | D | Jan 1, 2015 | Jan 1, 2020 | SMTC | 2,500 | 1,250 | D |
| Option (right to buy)F3 | $26.59 | Mar 19, 2018 | M | 1,250 | D | Jul 1, 2015 | Jul 1, 2020 | SMTC | 1,250 | 1,250 | D |
| Option (right to buy)F4 | $29.68 | Mar 19, 2018 | M | 1,250 | D | Jan 1, 2014 | Jan 1, 2019 | SMTC | 1,250 | 0 | D |
| Option (right to buy)F5 | $35.17 | Mar 19, 2018 | M | 5,000 | D | Jul 1, 2014 | Jul 1, 2019 | SMTC | 5,000 | 0 | D |
| Option (right to buy)F6 | $28.06 | Mar 19, 2018 | M | 2,500 | D | Jan 1, 2016 | Jan 1, 2021 | SMTC | 2,500 | 0 | D |
Explanation of responses
- F1This price represents the weighted average of these sales. The prices ranged from $39.6500 to $40.5000. Price and share details are available upon request.
- F2This grant vests in four annual installments beginning on January 1, 2015.
- F3This grant vests in four annual installments beginning on July 1, 2015.
- F4This grant vests in four annual installments beginning on January 1, 2014.
- F5This grant vests in four annual installments beginning on July 1, 2014.
- F6This grant vests in four annual installments beginning on January 1, 2016.