Statement of Changes in Beneficial Ownership (4)
August 29 2019 - 5:38PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
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
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Winter Michael R |
2. Issuer Name and Ticker or Trading Symbol
ALLIED MOTION TECHNOLOGIES INC
[
AMOT
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O ALLIED MOTION TECHNOLOGIES INC., 495 COMMERCE DRIVE, SUITE 3 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/23/2017
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(Street)
AMHERST, NY 14228
(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
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5/23/2017
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S(1)
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2000
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D
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$24.6901 (2)
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0 (3)
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I (5)
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By IRA
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Common Stock
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6/13/2018
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P(1)
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2000
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A
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$48.9715
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2000 (4)
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I (5)
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By IRA
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Common Stock
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14118
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D (6)
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code (Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)
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8. Price of Derivative Security (Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(1)
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These transactions were executed by the custodian for reporting person's individual retirement account (the "Firm"). The Firm did not discuss such transactions with the reporting person at the time the trades were made and the reporting person recently became aware that such sales and repurchase had been made. The initial sale transaction was contrary to the instructions of the reporting person and the subsequent repurchase transaction was also executed by the Firm without the the reporting person's authorization.
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(2)
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The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.6469 to $24.7065, inclusive. The reporting person undertakes to provide to Allied Motion Technologies Inc., any security holder of Allied Motion Technologies Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
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(3)
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Reflects the reporting person's holdings as of May 23, 2017 after the unauthorized sale transaction that was effected by the Firm on such date.
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(4)
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Reflects the reporting person's holdings as of June 13, 2018 after the unauthorized repurchase transaction that was effected by the Firm on such date.
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(5)
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The reporting person's prior Section 16 filings reported his IRA holdings as directly owned by the reporting person. The reporting person is reporting the subject shares as indirectly owned in this Form 4 to show the net effect of the unauthorized transactions effected by the Firm.
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(6)
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Includes shares purchased in the reporting person's IRA account that were previously reported on a Form 4 filed on May 14, 2019.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Winter Michael R C/O ALLIED MOTION TECHNOLOGIES INC. 495 COMMERCE DRIVE, SUITE 3 AMHERST, NY 14228
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X
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Signatures
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Susan M. Chiarmonte, attorney-in-fact for Michael R. Winter
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8/29/2019
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**Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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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.
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