SEC Form 4 · accession 0001209191-17-009318
IXYS, LLC · IXYS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James M Thorburn
Director
Period of report
Feb 9, 2017
Accepted (ET)
Feb 9, 2017 · 7:58 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000945699
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 9, 2017 | M | 5,000 | $11.50 | A | 10,172 | D | |
| Common StockF1 | Feb 9, 2017 | S | 5,000 | $13.2505 | D | 5,172 | D | |
| Common Stock | Feb 9, 2017 | M | 5,000 | $9.45 | A | 10,172 | D | |
| Common StockF2 | Feb 9, 2017 | S | 5,000 | $13.1807 | D | 5,172 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $11.50 | Feb 9, 2017 | M | 5,000 | D | Sep 5, 2009 | Sep 5, 2018 | Common Stock | 5,000 | 65,000 | D |
| Stock Option (Right to Buy) | $9.45 | Feb 9, 2017 | M | 5,000 | D | Aug 24, 2016 | Aug 24, 2022 | Common Stock | 5,000 | 60,000 | D |
Explanation of responses
- F1The shares were sold in multiple trades at prices ranging from $13.25 to $13.2762. The price reported above is the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the shares were sold upon receipt of a request from the SEC staff, the issuer or a security holder of the issuer.
- F2The shares were sold in multiple trades at prices ranging from $13.10 to $13.25. The price reported above is the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the shares were sold upon receipt of a request from the SEC staff, the issuer or a security holder of the issuer.