SEC Form 4 · accession 0001424422-15-000005
MoSys, Inc. · MOSY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James Sullivan
Officer — Chief Financial Officer
Period of report
Apr 1, 2015
Accepted (ET)
Apr 2, 2015 · 6:36 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000890394
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stockF1 | Apr 1, 2015 | M | 3,333 | — | A | 41,444 | D | |
| Common stockF1 | Apr 1, 2015 | F | 1,459 | $2.23 | D | 39,985 | 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 unitsF2 | — | Apr 1, 2015 | M | 3,333 | A | — | — | Common stock | 3,333 | 399,083 | D |
Explanation of responses
- F1Represents the conversion upon vesting of restricted stock units (RSU) into common stock. RSU converts into common stock on a one-for-one basis.
- F2On June 6, 2013, the reporting person was granted 10,000 restricted stock units, vesting in 3 equal installments on April 1, 2014, 2015 and 2016.