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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FAISON RALPH E C/O PULSE ELECTRONICS CORPORATION 12220 WORLD TRADE DRIVE SAN DIEGO, CA 92128 |
X | Chairman, President and CEO |
/s/ Ralph E. Faison | 02/08/2012 | |
**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) | As previously disclosed by the Issuer in a Current Report on Form 8-K filed with the Commission on November 17, 2011, these shares are being sold pursuant to the reporting person's written trading plan pursuant to Rule 10b5-1 of the Securities Exchange Act of 1934, as amended, which plan was entered into for the purpose of financing the payment of applicable withholding taxes on the issuance of certain shares to the reporting person. |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.01 to $3.06 per share pursuant to the reporting person's 10b5-1 Plan. The reporting person undertakes to provide to Pulse Electronics Corporation, any security holder of Pulse Electronics Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold by him at each separate price on February 6, 2012. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.01 to $3.03 per share pursuant to the reporting person's 10b5-1 Plan. The reporting person undertakes to provide to Pulse Electronics Corporation, any security holder of Pulse Electronics Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold by him at each separate price on February 7, 2012. |
(4) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.01 to $3.04 per share pursuant to the reporting person's 10b5-1 Plan. The reporting person undertakes to provide to Pulse Electronics Corporation, any security holder of Pulse Electronics Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold by him at each separate price on February 8, 2012. |