SEVCON, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 12 rows, 12 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-09-27: Reporting owner Meson Constructive Capital LP; Form 4; Security Warrant; Transaction J Other acquisition or disposition (describe transaction).
- 2017-09-27: Reporting owner Bassi Holding S.r.l.; Form 4; Security Warrant; Transaction J Other acquisition or disposition (describe transaction).
- 2017-09-27: Reporting owner Bassi Andrea; Form 4; Security Warrant; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2017-09-27: Reporting owner Morris Ryan J.; Form 4; Security Warrant; 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 | Meson Constructive Capital LP 10% Owner | 4 | Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | −307,000 0 owned after | $12.00 | 2017-09-29 | |
| 2017-09-27 | Bassi Holding S.r.l. 10% Owner | 4 | Warrant Derivative · Direct | J Other acquisition or disposition (describe transaction) | −55,000 0 owned after | $12.00 | 2017-09-29 | |
| 2017-09-27 | Bassi Andrea Officer (General Manager, Bassi S.r.l), 10% Owner | 4 | Warrant Derivative · Indirect · By Bassi Holding S.r.l | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −55,000 0 owned after | $12.00 | 2017-09-29 | |
| 2017-09-27 | Morris Ryan J. Director, 10% Owner | 4 | Warrant Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −27,500 0 owned after | $12.00 | 2017-09-29 | |
| 2017-09-27 | Morris Ryan J. Director, 10% Owner | 4 | Warrant Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −307,000 0 owned after | $12.00 | 2017-09-29 | |
| 2017-09-27 | Schenker Walter Milton Director | 4 | Warrant Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −7,500 0 owned after | $12.00 | 2017-09-29 | |
| 2017-07-18 holding as of filing | Bassi Andrea Officer (General Manager, Bassi S.r.l), 10% Owner | 3 | Warrants Derivative · Indirect · By Bassi Holding S.r.l. | Holding | $10.00 exercise price | 2017-07-18 | ||
| 2016-07-06 | Bassi Holding S.r.l. 10% Owner | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +55,000 55,000 owned after | $9.12 | 2016-10-13 | |
| 2016-07-06 | Meson Constructive Capital LP 10% Owner | 4 | Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +307,000 307,000 owned after | $9.12 | 2016-07-08 | |
| 2016-07-06 | Morris Ryan J. Director | 4 | Warrant Derivative · Indirect · By Meson Capital L.P. | P Open market or private purchase of non-derivative or derivative security | +27,500 27,500 owned after | $9.12 | 2016-07-08 | |
| 2016-07-06 | Morris Ryan J. Director | 4 | Warrant Derivative · Indirect · By Meson Constructive Capital LP | P Open market or private purchase of non-derivative or derivative security | +307,000 307,000 owned after | $9.12 | 2016-07-08 | |
| 2016-07-06 | Schenker Walter Milton Director | 4 | Warrant Derivative · Indirect · By MAZ Partners LP | P Open market or private purchase of non-derivative or derivative security | +7,500 7,500 owned after | $9.12 | 2016-07-08 |