SEC Form 4 · accession 0001209191-17-062956
IXYS, LLC · IXYS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Samuel Kory
Director
Period of report
Nov 28, 2017
Accepted (ET)
Nov 29, 2017 · 9:01 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 StockF1 | Nov 28, 2017 | S | 11,250 | $24.3805 | D | 0 | D | |
| Common Stock | Nov 28, 2017 | M | 20,000 | $11.50 | A | 20,000 | D | |
| Common Stock | Nov 28, 2017 | M | 20,000 | $6.88 | A | 40,000 | D | |
| Common Stock | Nov 28, 2017 | M | 20,000 | $9.37 | A | 60,000 | D | |
| Common Stock | Nov 28, 2017 | M | 20,000 | $12.25 | A | 80,000 | D | |
| Common Stock | Nov 28, 2017 | M | 5,000 | $9.45 | A | 85,000 | D | |
| Common Stock | Nov 28, 2017 | M | 5,000 | $9.27 | A | 90,000 | D | |
| Common Stock | Nov 28, 2017 | M | 3,750 | $11.83 | A | 93,750 | D | |
| Common Stock | Nov 28, 2017 | M | 2,500 | $11.14 | A | 96,250 | D | |
| Common Stock | Nov 28, 2017 | M | 1,250 | $11.58 | A | 97,500 | D | |
| Common StockF2 | Nov 28, 2017 | S | 97,500 | $24.3471 | D | 0 | 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 | Nov 28, 2017 | M | 20,000 | D | Sep 5, 2009 | Sep 5, 2018 | Common Stock | 20,000 | 85,000 | D |
| Stock Option (Right to Buy) | $6.88 | Nov 28, 2017 | M | 20,000 | D | Sep 11, 2010 | Sep 11, 2019 | Common Stock | 20,000 | 65,000 | D |
| Stock Option (Right to Buy) | $9.37 | Nov 28, 2017 | M | 20,000 | D | Aug 27, 2011 | Aug 27, 2020 | Common Stock | 20,000 | 45,000 | D |
| Stock Option (Right to Buy) | $12.25 | Nov 28, 2017 | M | 20,000 | D | Sep 16, 2012 | Sep 16, 2021 | Common Stock | 20,000 | 25,000 | D |
| Stock Option (Right to Buy) | $9.45 | Nov 28, 2017 | M | 5,000 | D | Aug 24, 2016 | Aug 24, 2022 | Common Stock | 5,000 | 20,000 | D |
| Stock Option (Right to Buy) | $9.27 | Nov 28, 2017 | M | 5,000 | D | Aug 30, 2017 | Aug 30, 2023 | Common Stock | 5,000 | 15,000 | D |
| Stock Option (Right to Buy) | $11.83 | Nov 28, 2017 | M | 3,750 | D | Aug 28, 2017 | Aug 28, 2024 | Common Stock | 3,750 | 11,250 | D |
| Stock Option (Right to Buy) | $11.14 | Nov 28, 2017 | M | 2,500 | D | Aug 28, 2017 | Aug 28, 2025 | Common Stock | 2,500 | 8,750 | D |
| Stock Option (Right to Buy) | $11.58 | Nov 28, 2017 | M | 1,250 | D | Aug 26, 2017 | Aug 26, 2026 | Common Stock | 1,250 | 7,500 | D |
Explanation of responses
- F1The shares were sold in multiple trades at prices ranging from $24.35 to $24.40. 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 $24.30 to $24.50. 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.