-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, B2xsTE7JHwHASeUIJ5dT2HwX7lOViz1NHtbWNh1Ta6bi4FUcHhNx12nCrBRwoOKH ettiPsDB2At7cnLTu+xnjQ== 0001008374-03-000003.txt : 20031112 0001008374-03-000003.hdr.sgml : 20031112 20031112183918 ACCESSION NUMBER: 0001008374-03-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031111 FILED AS OF DATE: 20031112 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: INTEVAC INC CENTRAL INDEX KEY: 0001001902 STANDARD INDUSTRIAL CLASSIFICATION: SPECIAL INDUSTRY MACHINERY, NEC [3559] IRS NUMBER: 943125814 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 356O BASSETT ST CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: 4089869888 MAIL ADDRESS: STREET 1: 3560 BASSETT STREET CITY: SANTA CLARA STATE: CA ZIP: 95054 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: POND NORMAN H CENTRAL INDEX KEY: 0001008374 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-26946 FILM NUMBER: 03995342 BUSINESS ADDRESS: STREET 1: C/O INTEVAC INC STREET 2: 3560 BASSETT ST CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: 4089869888 MAIL ADDRESS: STREET 1: C/O INTEVAC INC STREET 2: 3650 BASSETT ST CITY: SANTA CLARA STATE: CA ZIP: 95054 4 1 edgardoc.xml PRIMARY DOCUMENT X0201 4 2003-11-11 0 0001001902 INTEVAC INC IVAC 0001008374 POND NORMAN H 3560 BASSETT STREET SANTA CLARA CA 95054 1 1 0 0 Chairman of the Board Common Stock 2003-11-10 4 C 0 28285 7 A 46785 D Common Stock 2003-11-11 4 M 0 46000 6 A 92785 D Common Stock 2003-11-11 4 M 0 54000 6 A 146785 D Common Stock 2003-11-10 4 C 0 144857 7 A 950457 I by Trust Convertible Subordinated Notes II 7 2003-11-10 4 C 0 198000 D 2002-10-10 2009-03-01 Common Stock 28285 0 D Convertible Subordinated Notes II 7 2003-11-10 4 C 0 1014000 D 2002-10-10 2009-03-01 Common Stock 144857 0 I by Trust Incentive Stock Option (right to buy) 6 2003-11-11 4 M 0 46000 6 D 2005-08-07 Common Stock 46000 29330 D Non-Qualified Stock Option (right to buy) 6 2003-11-11 4 M 0 54000 6 D 2005-08-07 Common Stock 54000 34003 D The Convertible Notes due 2009 were automatically converted to common stock on November 10, 2003 at a conversion price of $7.00 per share. The holder of the Convertible Note has the right, exercisable at any time after 90 days following the date of original issuance of any Convertible Notes and prior to maturity, to convert the principal amount thereof into shares of Common Stock at the conversion price. The option is immediately exercisable, but any shares purchased under the option are subject to repurchase by the issuer at the option exercise price, upon the reporting person's termination of employment prior to vesting in the shares. The option shares vest in five successive equal installments upon the optionee's completion of each year of service over the five-year period measured from the grant date. By: Kevin H. Soulsby For: Norman Pond 2003-11-12 -----END PRIVACY-ENHANCED MESSAGE-----