Filing Details
- Accession Number:
- 0000908662-15-000086
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-02-23 16:24:45
- Reporting Period:
- 2015-02-19
- Filing Date:
- 2015-02-23
- Accepted Time:
- 2015-02-23 16:24:45
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 825411 | Sevcon Inc. | SEV | Electrical Industrial Apparatus (3620) | 042985631 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1535780 | J. Ryan Morris | C/O Sevcon, Inc. 155 Northboro Road Southborough MA 01772 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2015-02-19 | 100 | $7.44 | 37,750 | No | 4 | P | Indirect | By Meson Capital L.P. |
| Common Stock | Acquisiton | 2015-02-20 | 400 | $7.38 | 38,150 | No | 4 | P | Indirect | By Meson Capital L.P. |
| Common Stock | Acquisiton | 2015-02-23 | 1,820 | $7.47 | 39,970 | No | 4 | P | Indirect | By Meson Capital L.P. |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By Meson Capital L.P. |
| No | 4 | P | Indirect | By Meson Capital L.P. |
| No | 4 | P | Indirect | By Meson Capital L.P. |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A Convertible Preferred Stock | Acquisiton | 2015-02-19 | 1,203 | $25.00 | 3,609 | $8.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 48,420 | 2015-02-19 | No | 4 | P | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 6,000 | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A Convertible Preferred Stock | $8.00 | 2014-09-08 | 1,014 | 338 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 1,014 | 338 | Direct |
Footnotes
- The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for purposes of Section 16 or for any other purpose.
- The Series A Convertible Preferred Stock has no expiration date.
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