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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | $ 0 (5) | 10/29/2016 | M | 4,290 (1) (2) | (6) | (6) | Common Stock | 4,290 | $ 0 | 0 | D | ||||
Restricted Stock Units | $ 0 (5) | 10/30/2016 | M | 21,382 (4) (3) | (7) | (7) | Common Stock | 21,382 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Intrater Gideon D C/O ADESTO TECHNOLOGIES CORPORATION 3600 PETERSON WAY SANTA CLARA, CA 95054 |
Chief Technology Officer |
/s/ Gideon Intrater by Ron Shelton, Attorney-in-Fact | 11/10/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Vesting and release of restricted stock units ("RSUs") granted to the Reporting Person on February 9, 2016 (the "February 2016 RSUs"). |
(2) | Includes the remaining 3,218 shares underlying the February 2016 RSUs, the grant of which was previously reported in Table II of a Form 3 filed by the Reporting Person on May 6, 2016. The February 2016 RSUs vested as to 25% of the RSUs on October 29, 2016, and thereafter will vest in 36 equal monthly installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. |
(3) | Vesting and release of RSUs granted to the Reporting Person on October 30, 2015 (the "October 2015 RSUs"). |
(4) | Includes the remaining 10,691 shares underlying the October 2015 RSUs, the grant of which was previously reported in Table II of a Form 3 filed by the Reporting Person on May 6, 2016. The October 2015 RSUs vested as to 50% of the RSUs on October 30, 2016, and thereafter will vest quarterly as to 12.5% of the total RSUs in equal installments. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting. |
(5) | Each RSU represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration. |
(6) | 25% of the RSUs vested on October 29, 2016, and thereafter will vest in 36 equal monthly installments. |
(7) | 50% of the RSUs vested on October 30, 2016, and thereafter will vest quarterly as to 12.5% of the total RSUs in equal installments. |