Filing Details
- Accession Number:
- 0000899243-15-008124
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-11-13 16:32:24
- Reporting Period:
- 2015-11-12
- Filing Date:
- 2015-11-13
- Accepted Time:
- 2015-11-13 16:32:24
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1001902 | Intevac Inc | IVAC | Special Industry Machinery, Nec (3559) | 943125814 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1346543 | Northern Right Capital Management, L.p. | 10 Corbin Drive, 3Rd Floor Darien CT 06820 | Yes | No | No | Yes | |
1349003 | Bc Advisors Llc | 10 Corbin Drive, 3Rd Floor Darien CT 06820 | No | No | No | Yes | |
1349005 | R Steven Becker | C/O Northern Right Capital Management, L.p. 500 Crescent Court, Suite 230 Dallas TX 75201 | No | No | No | Yes | |
1451722 | Northern Right Capital (Qp), L.p. | 10 Corbin Drive, 3Rd Floor Darien CT 06820 | No | No | No | Yes | |
1458693 | A Matthew Drapkin | C/O Northern Right Capital Management, L.p. 10 Corbin Drive, 3Rd Floor Darien CT 06820 | Yes | No | No | Yes | |
1657252 | Becker Drapkin Partners Slv, Ltd. | 10 Corbin Drive, 3Rd Floor Darien CT 06820 | No | No | No | Yes |
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 | Disposition | 2015-11-12 | 1,128,605 | $4.98 | 0 | No | 4 | S | Indirect | See footnotes |
Common Stock | Disposition | 2015-11-12 | 354,566 | $4.98 | 0 | No | 4 | S | Indirect | See footnotes |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | See footnotes |
No | 4 | S | Indirect | See footnotes |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 779,801 | Indirect | See footnotes |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Non-Qualified Stock Options | $5.62 | 2016-06-04 | 2022-06-04 | 13,000 | 13,000 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2022-06-04 | 13,000 | 13,000 | Direct |
Footnotes
- Represents Common Stock of the Issuer directly held by Becker Drapkin Partners SLV, Ltd. ("BD SLV").
- Represents Common Stock of the Issuer directly held by a managed account on behalf of an investment advisory client (the "Managed Account") of Northern Right Capital Management, L.P. ("NRC Management").
- Represents Common Stock of the Issuer directly held by Northern Right Capital (QP), L.P. ("NRC QP").
- Represents shares sold to the Issuer pursuant to a Share Purchase Agreement by and among BD SLV, NRC Management and the Issuer, dated as of November 12, 2015.
- Mr. Becker and Mr. Drapkin may be deemed to beneficially own such Common Stock as each is a member of BC Advisors, LLC, which is the general partner of NRC Management (of which each of Mr. Becker and Mr. Drapkin is a limited partner), and NRC Management is the general partner of, and investment manager for, NRC QP, and the investment manager of each of BD SLV and the Managed Account. Each of Mr. Becker and Mr. Drapkin disclaim beneficial ownership in such Common Stock except to the extent of his pecuniary interest therein.
- In connection with Mr. Drapkin's reelection to the Board of Directors of the Issuer, the Issuer granted these options to Mr. Drapkin. This option grant will vest in full on June 4, 2016.