SEVCON, INC. Forms 3, 4 and 5: Preferred Stock
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.
- 2017-09-27: Reporting owner STEADMAN DAVID RA; Form 4; Security Series A Convertible Preferred Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2017-09-27: Reporting owner BOYLE MATTHEW; Form 4; Security Series A Convertible Preferred Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2017-09-27: Reporting owner ANGIOLILLO GLENN; Form 4; Security Series A Convertible Preferred Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2017-09-27: Reporting owner FARQUHAR PAUL NEIL; Form 4; Security Series A Convertible Preferred Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-09-27 | STEADMAN DAVID RA Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,000 0 owned after | $66.00 | 2017-09-29 | |
| 2017-09-27 | BOYLE MATTHEW Director, Officer (President and CEO) | 4 | Series A Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −9,123 0 owned after | $66.00 | 2017-09-29 | |
| 2017-09-27 | ANGIOLILLO GLENN Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −338 0 owned after | $66.00 | 2017-09-29 | |
| 2017-09-27 | FARQUHAR PAUL NEIL Officer (Vice President and CFO) | 4 | Series A Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,326 0 owned after | $66.00 | 2017-09-29 | |
| 2017-09-27 | Stump Paul O Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,408 0 owned after | $66.00 | 2017-09-29 | |
| 2017-09-27 | Morris Ryan J. Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −338 0 owned after | $66.00 | 2017-09-29 | |
| 2017-09-27 | Morris Ryan J. Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −7,699 0 owned after | $66.00 | 2017-09-29 | |
| 2017-09-27 | KETELHUT WILLIAM J Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,404 0 owned after | $66.00 | 2017-09-29 | |
| 2017-09-27 | Schenker Walter Milton Director | 4 | Series A Convertible Preferred Stock Derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −538 0 owned after | $66.00 | 2017-09-29 | |
| 2016-07-18 holding as of filing | STEADMAN DAVID RA Director | 3 | Series A Convertable Preferred Stock Derivative · Direct | Holding | $8.00 exercise price | 2016-07-18 | ||
| 2015-06-15 holding as of filing | Morris Ryan J. Director | 4/A | Series A Convertible Preferred Stock Derivative · Direct | Holding | 338 owned after | $8.00 exercise price | 2015-06-15 | |
| 2015-06-12 holding as of filing | Morris Ryan J. Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | Holding | 338 owned after | $8.00 exercise price | 2015-06-12 | |
| 2015-06-10 | Morris Ryan J. Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Meson Capital L.P. | P Open market or private purchase of non-derivative or derivative security | +78 49,616 owned after | $30.00 | 2015-06-12 | |
| 2015-06-08 holding as of filing | Morris Ryan J. Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | Holding | 338 owned after | $8.00 exercise price | 2015-06-08 | |
| 2015-06-04 | Morris Ryan J. Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Meson Capital L.P. | P Open market or private purchase of non-derivative or derivative security | +205 49,538 owned after | $29.97 | 2015-06-08 | |
| 2015-05-15 holding as of filing | Morris Ryan J. Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | Holding | 338 owned after | $8.00 exercise price | 2015-05-15 | |
| 2015-05-13 | Morris Ryan J. Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Meson Capital L.P. | P Open market or private purchase of non-derivative or derivative security | +70 49,333 owned after | $24.00 | 2015-05-15 | |
| 2015-05-13 holding as of filing | Morris Ryan J. Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | Holding | 338 owned after | $8.00 exercise price | 2015-05-13 | |
| 2015-05-11 | Morris Ryan J. Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Meson Capital L.P. | P Open market or private purchase of non-derivative or derivative security | +843 49,263 owned after | $24.00 | 2015-05-13 | |
| 2015-02-23 holding as of filing | Morris Ryan J. Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | Holding | 338 owned after | $8.00 exercise price | 2015-02-23 | |
| 2015-02-19 | Morris Ryan J. Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Meson Capital L.P. | P Open market or private purchase of non-derivative or derivative security | +1,203 48,420 owned after | $25.00 | 2015-02-23 | |
| 2015-02-18 holding as of filing | Morris Ryan J. Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | Holding | 338 owned after | $8.00 exercise price | 2015-02-18 | |
| 2015-02-17 | Morris Ryan J. Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Meson Capital L.P. | P Open market or private purchase of non-derivative or derivative security | +500 47,217 owned after | $24.50 | 2015-02-18 | |
| 2015-02-17 holding as of filing | Morris Ryan J. Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | Holding | 338 owned after | $8.00 exercise price | 2015-02-17 | |
| 2015-02-12 | Morris Ryan J. Director | 4/A | Series A Convertible Preferred Stock Derivative · Indirect · By Meson Capital L.P. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +205 4,800 owned after | $25.00 | 2015-06-15 | |
| 2015-02-12 | Morris Ryan J. Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By Meson Capital L.P. | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +205 46,717 owned after | $25.00 | 2015-02-17 | |
| 2014-09-08 | SCHORR MARVIN G Director | 4/A | Series A Convertible Preferred Stock Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +22,448 22,448 owned after | $21.20 | 2014-09-24 | |
| 2014-09-08 | SCHORR MARVIN G Director | 4/A | Series A Convertible Preferred Stock Derivative · Indirect · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +234 234 owned after | $21.50 | 2014-09-24 | |
| 2014-09-08 | Morris Ryan J. Director | 4/A | Series A Convertible Preferred Stock Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +338 338 owned after | $21.50 | 2014-09-18 | |
| 2014-09-08 | Morris Ryan J. Director | 4/A | Series A Convertible Preferred Stock Derivative · Indirect · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +2,889 2,889 owned after | $21.50 | 2014-09-18 | |
| 2014-09-08 | Morris Ryan J. Director | 4/A | Series A Convertible Preferred Stock Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,706 4,595 owned after | $21.50 | 2014-09-18 | |
| 2014-09-08 | Schenker Walter Milton Director | 4/A | Series A Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +338 338 owned after | $21.50 | 2014-09-18 | |
| 2014-09-08 | Schenker Walter Milton Director | 4/A | Series A Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200 538 owned after | $21.50 | 2014-09-18 | |
| 2014-09-08 | KETELHUT WILLIAM J Director | 4/A | Series A Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +1,639 1,639 owned after | $21.50 | 2014-09-18 | |
| 2014-09-08 | KETELHUT WILLIAM J Director | 4/A | Series A Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +765 2,404 owned after | $21.50 | 2014-09-18 | |
| 2014-09-08 | BOYLE MATTHEW Director, Officer (President and CEO) | 4/A | Series A Converible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +9,121 9,121 owned after | $21.50 | 2014-09-18 | |
| 2014-09-08 | BOYLE MATTHEW Director, Officer (President and CEO) | 4/A | Series A Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2 9,123 owned after | $21.50 | 2014-09-18 | |
| 2014-09-08 | STEADMAN DAVID RA Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +1,000 1,000 owned after | $21.50 | 2014-09-10 | |
| 2014-09-08 | KETELHUT WILLIAM J Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +1,640 1,640 owned after | $21.50 | 2014-09-10 | |
| 2014-09-08 | KETELHUT WILLIAM J Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,001 2,641 owned after | $21.50 | 2014-09-10 | |
| 2014-09-08 | SCHORR MARVIN G Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +22,448 22,448 owned after | $21.50 | 2014-09-10 | |
| 2014-09-08 | FARQUHAR PAUL NEIL Director, Officer (Vice President and CFO) | 4 | Series A Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +2,326 2,326 owned after | $21.50 | 2014-09-10 | |
| 2014-09-08 | Wang Frederick A Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +1,106 1,106 owned after | $21.50 | 2014-09-10 | |
| 2014-09-08 | Wang Frederick A Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +338 1,444 owned after | $21.50 | 2014-09-10 | |
| 2014-09-08 | Schenker Walter Milton Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +338 338 owned after | $21.50 | 2014-09-10 | |
| 2014-09-08 | Schenker Walter Milton Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 2,338 owned after | $21.50 | 2014-09-10 | |
| 2014-09-08 | BOYLE MATTHEW Director, Officer (Preident and CEO) | 4 | Series A Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +9,121 9,121 owned after | $21.50 | 2014-09-10 | |
| 2014-09-08 | Stump Paul O Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +247 247 owned after | $21.50 | 2014-09-10 | |
| 2014-09-08 | Stump Paul O Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +2,161 2,408 owned after | $21.50 | 2014-09-10 | |
| 2014-09-08 | Morris Ryan J. Director | 4 | Series A Convertible Preferred Stock Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +338 338 owned after | $21.50 | 2014-09-10 | |
| 2014-09-08 | Morris Ryan J. Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +2,889 2,889 owned after | $21.50 | 2014-09-10 | |
| 2014-09-08 | Morris Ryan J. Director | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +43,623 46,512 owned after | $21.50 | 2014-09-10 | |
| 2014-09-08 | ANGIOLILLO GLENN Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +338 338 owned after | $21.50 | 2014-09-10 |