Statement of Changes in Beneficial Ownership (4)
01 4월 2020 - 10:04PM
Edgar (US Regulatory)
FORM 4
[X]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Lawing John |
2. Issuer Name and Ticker or Trading Symbol
AVX Corp
[
AVX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) SR VP Chief Technology Officer |
(Last)
(First)
(Middle)
1 AVX BOULEVARD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/30/2020 |
(Street)
FOUNTAIN INN, SC 29644
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 3/30/2020 | 3/30/2020 | A | | 5000 | A | $21.75 | 21906 | D | |
Common Stock | 3/30/2020 | 3/30/2020 | D | | 21906 | D | $21.75 | 0 | D | |
Common Stock | 3/30/2020 | 3/30/2020 | D | | 2244 (1) | D | $21.75 | 0 | I | By Retirement Plan Trustees |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Incentive Stock Option (Right to Buy) | $13.70 | 3/30/2020 | 3/30/2020 | D | | | 11112 | 6/14/2011 | 6/14/2020 | Common Stock | 11112 | $21.75 | 0 | D | |
Incentive Stock Option (Right to Buy) | $10.90 | 3/30/2020 | 3/30/2020 | D | | | 7148 | 5/17/2013 | 5/17/2022 | Common Stock | 7148 | $21.75 | 0 | D | |
Incentive Stock Option (Right to Buy) | $14.58 | 3/30/2020 | 3/30/2020 | D | | | 3160 | 6/24/2012 | 6/24/2021 | Common Stock | 3160 | $21.75 | 0 | D | |
Incentive Stock Option (Right to Buy) | $13.32 | 3/30/2020 | 3/30/2020 | D | | | 3617 | 4/24/2015 | 4/24/2024 | Common Stock | 3617 | $21.75 | 0 | D | |
Incentive Stock Option (Right to Buy) | $14.55 | 3/30/2020 | 3/30/2020 | D | | | 8668 | 4/16/2016 | 4/16/2025 | Common Stock | 8668 | $21.75 | 0 | D | |
Incentive Stock Option (Right to Buy) | $11.25 | 3/30/2020 | 3/30/2020 | D | | | 11825 | 4/26/2014 | 4/26/2023 | Common Stock | 11825 | $21.75 | 0 | D | |
Non-qualified Stock Option (Right to Buy) | $13.70 | 3/30/2020 | 3/30/2020 | D | | | 8888 | 6/14/2011 | 6/14/2020 | Common Stock | 8888 | $21.75 | 0 | D | |
Non-Qualified Stock Option (Right to Buy) | $14.58 | 3/30/2020 | 3/30/2020 | D | | | 15840 | 6/24/2012 | 6/24/2021 | Common Stock | 15840 | $21.75 | 0 | D | |
Non-Qualified Stock Option (Right to Buy) | $13.32 | 3/30/2020 | 3/30/2020 | D | | | 10383 | 4/24/2015 | 4/24/2024 | Common Stock | 10383 | $21.75 | 0 | D | |
Non-qualified Stock Option (Right to Buy) | $14.55 | 3/30/2020 | 3/30/2020 | D | | | 11332 | 4/16/2015 | 4/16/2025 | Common Stock | 11332 | $21.75 | 0 | D | |
Explanation of Responses: |
(1) | Total holdings have been adjusted for transactions exempt from Section 16 reporting requirements. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Lawing John 1 AVX BOULEVARD FOUNTAIN INN, SC 29644 |
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| SR VP Chief Technology Officer |
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Signatures
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/s/ Michael Hufnagel, attorney-in-fact | | 4/1/2020 |
**Signature of Reporting Person | Date |
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