SEVCON, INC. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 53 rows, 53 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-09-08: Reporting owner SCHORR MARVIN G; Form 4/A; Security Subscription Rights (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-09-08: Reporting owner SCHORR MARVIN G; Form 4/A; Security Subscription Rights (Right to Buy); Transaction H Expiration (or cancellation) of long derivative position with value received.
- 2014-09-08: Reporting owner Morris Ryan J.; Form 4/A; Security Subscription Rights (Right to Buy; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-09-08: Reporting owner Morris Ryan J.; Form 4/A; Security Subscription Rights (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-09-08 | SCHORR MARVIN G Director | 4/A | Subscription Rights (Right to Buy) Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −172,386 0 owned after | $21.50 exercise price | 2014-09-24 | |
| 2014-09-08 | SCHORR MARVIN G Director | 4/A | Subscription Rights (Right to Buy) Derivative · Indirect · (m) | H Expiration (or cancellation) of long derivative position with value received | −1,800 0 owned after | $21.50 exercise price | 2014-09-24 | |
| 2014-09-08 | Morris Ryan J. Director | 4/A | Subscription Rights (Right to Buy Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,600 0 owned after | $21.50 exercise price | 2014-09-18 | |
| 2014-09-08 | Morris Ryan J. Director | 4/A | Subscription Rights (Right to Buy) Derivative · Indirect · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −22,188 0 owned after | $21.50 exercise price | 2014-09-18 | |
| 2014-09-08 | Schenker Walter Milton Director | 4/A | Subscription Rights (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,600 0 owned after | $21.50 exercise price | 2014-09-18 | |
| 2014-09-08 | KETELHUT WILLIAM J Director | 4/A | Subscription Rights (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,600 0 owned after | $21.50 exercise price | 2014-09-18 | |
| 2014-09-08 | BOYLE MATTHEW Director, Officer (President and CEO) | 4/A | Subsription Rights (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −70,057 0 owned after | $21.50 exercise price | 2014-09-18 | |
| 2014-09-08 | STEADMAN DAVID RA Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,680 0 owned after | $21.50 exercise price | 2014-09-10 | |
| 2014-09-08 | KETELHUT WILLIAM J Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,600 0 owned after | $21.50 exercise price | 2014-09-10 | |
| 2014-09-08 | SCHORR MARVIN G Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −172,386 0 owned after | $21.50 exercise price | 2014-09-10 | |
| 2014-09-08 | FARQUHAR PAUL NEIL Director, Officer (Vice President and CFO) | 4 | Subscription Rights (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −17,863 0 owned after | $21.50 exercise price | 2014-09-10 | |
| 2014-09-08 | Wang Frederick A Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,500 0 owned after | $21.50 exercise price | 2014-09-10 | |
| 2014-09-08 | Wang Frederick A Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,600 0 owned after | $21.50 exercise price | 2014-09-10 | |
| 2014-09-08 | Schenker Walter Milton Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,600 0 owned after | $21.50 exercise price | 2014-09-10 | |
| 2014-09-08 | BOYLE MATTHEW Director, Officer (Preident and CEO) | 4 | Subscription Rights (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −70,057 0 owned after | $21.50 exercise price | 2014-09-10 | |
| 2014-09-08 | Stump Paul O Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,897 0 owned after | $21.50 exercise price | 2014-09-10 | |
| 2014-09-08 | Stump Paul O Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,595 0 owned after | $21.50 exercise price | 2014-09-10 | |
| 2014-09-08 | Morris Ryan J. Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,600 0 owned after | $21.50 exercise price | 2014-09-10 | |
| 2014-09-08 | Morris Ryan J. Director | 4 | Subscription Rights (Right to Buy) Derivative · Indirect · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −22,188 0 owned after | $21.50 exercise price | 2014-09-10 | |
| 2014-09-08 | ANGIOLILLO GLENN Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,600 0 owned after | $21.50 exercise price | 2014-09-10 | |
| 2014-09-08 | ROSENBERG PAUL B Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −98 36,882 owned after | $0.30 | 2014-09-09 | |
| 2014-09-08 | ROSENBERG PAUL B Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −10 36,872 owned after | $0.20 | 2014-09-09 | |
| 2014-09-05 | START BERNARD F Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct · (m) | S Open market or private sale of non-derivative or derivative security | −24,617 2,600 owned after | $0.32 | 2014-09-08 | |
| 2014-09-05 | ROSENBERG PAUL B Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −10,000 46,980 owned after | $0.33 | 2014-09-05 | |
| 2014-09-05 | ROSENBERG PAUL B Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −10,000 36,980 owned after | $0.35 | 2014-09-05 | |
| 2014-09-04 | START BERNARD F Director | 4 | Subscription Rights (Right to Buy) Derivative · Indirect · (m) | S Open market or private sale of non-derivative or derivative security | −123,872 0 owned after | $0.33 | 2014-09-08 | |
| 2014-09-03 | ROSENBERG PAUL B Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −5,000 56,980 owned after | $0.55 | 2014-09-05 | |
| 2014-09-03 | STEADMAN DAVID RA Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −2,000 14,106 owned after | $0.44 | 2014-09-03 | |
| 2014-09-03 | STEADMAN DAVID RA Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −500 13,606 owned after | $0.45 | 2014-09-03 | |
| 2014-09-02 | STEADMAN DAVID RA Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −4,700 16,106 owned after | $0.44 | 2014-09-03 | |
| 2014-09-02 | ROSENBERG PAUL B Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct · (m) | S Open market or private sale of non-derivative or derivative security | −5,000 66,980 owned after | $0.42 | 2014-09-03 | |
| 2014-09-02 | ROSENBERG PAUL B Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct · (m) | S Open market or private sale of non-derivative or derivative security | −5,000 61,980 owned after | $0.45 | 2014-09-03 | |
| 2014-08-29 | ROSENBERG PAUL B Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct · (m) | S Open market or private sale of non-derivative or derivative security | −20,000 72,380 owned after | $0.40 | 2014-09-03 | |
| 2014-08-29 | ROSENBERG PAUL B Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct · (m) | S Open market or private sale of non-derivative or derivative security | −400 71,980 owned after | $0.53 | 2014-09-03 | |
| 2014-08-29 | ROSENBERG PAUL B Director | 4 | Subscription Rights (Right to Buy) Derivative · Indirect · (m) | S Open market or private sale of non-derivative or derivative security | −1,000 0 owned after | $0.40 | 2014-09-03 | |
| 2014-08-27 | ROSENBERG PAUL B Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −3,000 97,480 owned after | $0.49 | 2014-08-27 | |
| 2014-08-27 | ROSENBERG PAUL B Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −5,100 92,380 owned after | $0.47 | 2014-08-27 | |
| 2014-08-27 holding as of filing | ROSENBERG PAUL B Director | 4 | Subscription Rights (Right to Buy) Derivative · Indirect · By Spouse | Holding | 1,000 owned after | $21.50 exercise price | 2014-08-27 | |
| 2014-08-26 | ROSENBERG PAUL B Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −1,700 100,480 owned after | $0.60 | 2014-08-27 | |
| 2014-08-25 | ROSENBERG PAUL B Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −1,000 102,180 owned after | $0.64 | 2014-08-25 | |
| 2014-08-25 holding as of filing | ROSENBERG PAUL B Director | 4 | Subscription Rights (Right to Buy) Derivative · Indirect · By spouse | Holding | 1,000 owned after | $21.50 exercise price | 2014-08-25 | |
| 2014-08-22 | ROSENBERG PAUL B Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −900 103,180 owned after | $0.64 | 2014-08-25 | |
| 2014-08-21 | ROSENBERG PAUL B Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −500 104,080 owned after | $0.70 | 2014-08-25 | |
| 2014-08-20 | STEADMAN DAVID RA Director | 4/A | Subscription Rights (Right to Buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −1,500 20,856 owned after | $0.69 | 2014-08-21 | |
| 2014-08-20 | STEADMAN DAVID RA Director | 4/A | Subscription Rights (Right to Buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −50 20,806 owned after | $0.71 | 2014-08-21 | |
| 2014-08-19 | STEADMAN DAVID RA Director | 4/A | Subscription Rights (Right to Buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −2,500 32,556 owned after | $0.70 | 2014-08-21 | |
| 2014-08-19 | STEADMAN DAVID RA Director | 4/A | Subscription Rights (Right to Buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −10,200 22,356 owned after | $0.70 | 2014-08-21 | |
| 2014-08-19 | STEADMAN DAVID RA Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | −2,500 32,566 owned after | $0.70 | 2014-08-20 | |
| 2014-08-19 | STEADMAN DAVID RA Director | 4 | Subscripton Rights (Right to Buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | −10,200 22,356 owned after | $0.70 | 2014-08-20 | |
| 2014-08-18 | STEADMAN DAVID RA Director | 4/A | Subscription Rights (Right to Buy) Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −44 35,056 owned after | $0.88 | 2014-08-21 | |
| 2014-08-18 | STEADMAN DAVID RA Director | 4 | Subscription Rights (Right to Buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | −44 35,056 owned after | $0.88 | 2014-08-20 | |
| 2011-01-26 holding as of filing | KETELHUT WILLIAM J Director | 3 | No Securities Beneficially Owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2011-01-26 | |
| 2010-02-26 holding as of filing | Wang Frederick A Director | 3 | No Securities Beneficially Owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2010-02-26 |