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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 (2) | (2) | 02/22/2019 | M | 928 | (2)(3) | (2)(3) | Common Stock | 928 | $ 0 | 1,858 | D | ||||
Restricted Stock Units (2) | (2) | 02/25/2019 | M | 3,636 | (2)(4) | (2)(4) | Common Stock | 3,636 | $ 0 | 0 | D | ||||
Restricted Stock Units (2) | (2) | 02/21/2019 | A | 2,588 | (2)(5) | (2)(5) | Common Stock | 2,588 | $ 0 | 2,588 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CHANG PETER L C/O NOVANTA INC. 125 MIDDLESEX TURNPIKE BEDFORD, MA 01730 |
CAO-Corporate Controller |
/s/ Joanna Tow, Attorney-In-Fact | 02/26/2019 | |
**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) | The sale reported in this Form 4 was effected pursuant to a pre-established Rule 10b5-1 trading plan adopted by the reporting person on December 6, 2018. |
(2) | Each Restricted Stock Unit represents the right to receive one Novanta Inc. common share upon vesting of such Restricted Stock Unit. |
(3) | The Restricted Stock Units vest in three equal annual installments on February 22, 2019, February 22, 2020 and February 22, 2021. |
(4) | The Restricted Stock Units vest in three equal annual installments on February 24, 2017, February 24, 2018 and February 24, 2019. |
(5) | The Restricted Stock Units vest in three equal annual installments on February 21, 2020, February 21, 2021 and February 21, 2022. |
Remarks: Power of Attorney on file |