SEC Form 4 · accession 0001209191-17-020978
IXYS, LLC · IXYS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
S Joon Lee
Director
Period of report
Mar 15, 2017
Accepted (ET)
Mar 16, 2017 · 11:26 am EDT
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 | Mar 15, 2017 | M | 5,000 | $9.45 | A | 10,000 | D | |
| Common StockF1 | Mar 15, 2017 | S | 5,000 | $13.3253 | D | 5,000 | D | |
| Common Stock | Mar 15, 2017 | M | 3,750 | $9.27 | A | 8,750 | D | |
| Common StockF2 | Mar 15, 2017 | S | 3,750 | $13.3062 | D | 5,000 | D | |
| Common Stock | Mar 15, 2017 | M | 5,326 | $11.50 | A | 10,326 | D | |
| Common StockF1 | Mar 15, 2017 | S | 5,326 | $13.3295 | D | 5,000 | D | |
| Common Stock | Mar 15, 2017 | M | 4,984 | $9.37 | A | 9,984 | D | |
| Common StockF1 | Mar 15, 2017 | S | 4,984 | $13.3285 | D | 5,000 | 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) | $9.45 | Mar 15, 2017 | M | 5,000 | D | Aug 24, 2016 | Aug 24, 2022 | Common Stock | 5,000 | 80,000 | D |
| Stock Option (Right to Buy) | $9.27 | Mar 15, 2017 | M | 3,750 | D | Aug 30, 2016 | Aug 30, 2023 | Common Stock | 3,750 | 76,250 | D |
| Stock Option (Right to Buy) | $11.50 | Mar 15, 2017 | M | 5,326 | D | Sep 5, 2012 | Sep 5, 2018 | Common Stock | 5,326 | 70,924 | D |
| Stock Option (Right to Buy) | $9.37 | Mar 15, 2017 | M | 4,984 | D | Aug 27, 2014 | Aug 27, 2020 | Common Stock | 4,984 | 65,940 | D |
Explanation of responses
- F1The shares were sold in multiple trades at prices ranging from $13.30 to $13.40. 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 $13.30 to $13.3250. 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.
Remarks
The transactions occurred pursuant to the reporting person's 10b5-1 plan.