0001213184-13-000081.txt : 20131106 0001213184-13-000081.hdr.sgml : 20131106 20131106203934 ACCESSION NUMBER: 0001213184-13-000081 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131104 FILED AS OF DATE: 20131106 DATE AS OF CHANGE: 20131106 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NEWPORT CORP CENTRAL INDEX KEY: 0000225263 STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY APPARATUS & FURNITURE [3821] IRS NUMBER: 940849175 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1791 DEERE AVE CITY: IRVINE STATE: CA ZIP: 92714 BUSINESS PHONE: 7148633144 MAIL ADDRESS: STREET 1: 1791 DEERE AVE CITY: IRVINE STATE: CA ZIP: 92714 FORMER COMPANY: FORMER CONFORMED NAME: DOLE JAMES CORP DATE OF NAME CHANGE: 19910905 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PHILLIPPY ROBERT J CENTRAL INDEX KEY: 0001213190 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-01649 FILM NUMBER: 131198118 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2013-11-04 0000225263 NEWPORT CORP NEWP 0001213190 PHILLIPPY ROBERT J 1791 DEERE AVENUE IRVINE CA 92606 1 1 0 0 President & CEO Common Stock 2013-11-04 4 M 0 5000 16.91 A 226645 D Common Stock 2013-11-04 4 S 0 5000 17.40 D 221645 D Common Stock 2013-11-05 4 M 0 3073 16.91 A 224718 D Common Stock 2013-11-05 4 S 0 3073 17.404 D 221645 D Common Stock 51714 I Held in family trust Nonqualified Stock Option (right to buy) 16.91 2013-11-04 4 M 0 5000 0 D 2014-01-01 Common Stock 5000 20000 D Nonqualified Stock Option (right to buy) 16.91 2013-11-05 4 M 0 3073 0 D 2014-01-01 Common Stock 3073 16927 D 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. /s/ Jeffrey B. Coyne, SVP & General Counsel, as attorney-in-fact for reporting person 2013-11-06