SEC Form 4 · accession 0001645383-16-000008
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, 2016
Accepted (ET)
Apr 4, 2016 · 12:41 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, 2016 | M | 3,333 | — | A | 46,214 | D | |
| Common StockF1 | Apr 1, 2016 | F | 1,459 | $0.65 | D | 44,755 | 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, 2016 | M | 3,333 | A | — | — | Common Stock | 3,333 | 449,750 | 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.