Filing Details
- Accession Number:
- 0001213184-13-000081
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-06 20:39:34
- Reporting Period:
- 2013-11-04
- Filing Date:
- 2013-11-06
- Accepted Time:
- 2013-11-06 20:39:34
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 225263 | Newport Corp | NEWP | Laboratory Apparatus & Furniture (3821) | 940849175 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1213190 | J Robert Phillippy | 1791 Deere Avenue Irvine CA 92606 | President & Ceo | Yes | Yes | 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 | 2013-11-04 | 5,000 | $16.91 | 226,645 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-04 | 5,000 | $17.40 | 221,645 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-11-05 | 3,073 | $16.91 | 224,718 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-11-05 | 3,073 | $17.40 | 221,645 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Nonqualified Stock Option (right to buy) | Disposition | 2013-11-04 | 5,000 | $0.00 | 5,000 | $16.91 |
| Common Stock | Nonqualified Stock Option (right to buy) | Disposition | 2013-11-05 | 3,073 | $0.00 | 3,073 | $16.91 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 20,000 | 2014-01-01 | No | 4 | M | Direct | |
| 16,927 | 2014-01-01 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 51,714 | Indirect | Held in family trust |
Footnotes
- Transaction was effected pursuant to a Rule 10b5-1 trading plan established by reporting person on September 11, 2013.
- Includes 508 shares acquired through the issuer's Employee Stock Purchase Plan on June 30, 2013.
- Reflects the weighted-average sale price for an aggregate of 3,073 shares sold in multiple transactions at prices ranging from $17.40 to $17.409 per share. Reporting person undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- Shares are held by reporting person and his spouse as trustees of a family trust.
- Option became fully vested on January 2, 2008.
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