0001213184-15-000006.txt : 20150212 0001213184-15-000006.hdr.sgml : 20150212 20150212211354 ACCESSION NUMBER: 0001213184-15-000006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150210 FILED AS OF DATE: 20150212 DATE AS OF CHANGE: 20150212 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: 15608710 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2015-02-10 0000225263 NEWPORT CORP NEWP 0001213190 PHILLIPPY ROBERT J 1791 DEERE AVENUE IRVINE CA 92606 1 1 0 0 President & CEO Common Stock 2015-02-10 4 M 0 83400 4.18 A 354795 D Common Stock 2015-02-10 4 D 0 17131 20.35 D 337664 D Common Stock 2015-02-11 4 S 0 47580 20.3035 D 290084 D Common Stock 2015-02-12 4 S 0 18689 20.2035 D 271395 D Common Stock 51714 I Held in family trust Stock-settled stock appreciation right 4.18 2015-02-10 4 M 0 83400 0 D 2016-03-20 Common Stock 83400 0 D Transaction was effected pursuant to a Rule 10b5-1 trading plan established by reporting person on September 11, 2014. Reflects the disposition of shares to the issuer deemed to occur upon the exercise of a stock appreciation right (such shares having a total value at the time of exercise equal to the aggregate base value of the stock appreciation right). Reflects the weighted-average sale price for an aggregate of 47,580 shares sold in multiple transactions at prices ranging from $20.21 to $20.46 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. Reflects the weighted-average sale price for an aggregate of 18,689 shares sold in multiple transactions at prices ranging from $20.09 to $20.36 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. Stock appreciation right became fully vested on March 20, 2012. /s/ Jeffrey B. Coyne, SVP & General Counsel, as attorney-in-fact for reporting person 2015-02-12