0000730000-11-000017.txt : 20110830 0000730000-11-000017.hdr.sgml : 20110830 20110829214821 ACCESSION NUMBER: 0000730000-11-000017 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20110830 DATE AS OF CHANGE: 20110829 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: SCHLAM ELLIOTT CENTRAL INDEX KEY: 0001195896 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 144 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SUPERTEX INC CENTRAL INDEX KEY: 0000730000 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 942328535 STATE OF INCORPORATION: CA FISCAL YEAR END: 1221 FILING VALUES: FORM TYPE: 144 SEC ACT: 1933 Act SEC FILE NUMBER: 000-12718 FILM NUMBER: 111064128 BUSINESS ADDRESS: STREET 1: 1235 BORDEAUX DR CITY: SUNNYVALE STATE: CA ZIP: 94089 BUSINESS PHONE: 4087440100 MAIL ADDRESS: STREET 1: 1235 BORDEAUX DR CITY: SUNNYVALE STATE: CA ZIP: 94089 144 1 form144schlam08292011.htm FORM 144 ELLIOTT SCHLAM 08-29-2011 form144schlam08292011.htm


 UNITED STATES
OMB APPROVAL
 SECURITIES AND EXCHANGE COMMISSION
 OMB NUMBER:                                      3235-0101
 Washington, D.C. 20549
 Expires:                   FEBRUARY 28, 2014
 
 Estimated average burden
 hours per response.........................1.00
 FORM 144
SEC USE ONLY
   DOCUMENT SEQUENCE NO.
 NOTICE OF PROPOSED SALE OF SECURITIES
 
 PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
 CUSIP NUMBER
   
 ATTENTION:  WORK LOCATION
 Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker.  
 
 
1 (a) NAME OF ISSUER (Please type or print)
(b) IRS ID No.
(c) SEC File No.
  
Supertex Inc.
94-232-8535
000-12718
 
1 (d) ADDRESS OF ISSUER     (e) TELEPHONE
Street
City
State Zip Code
Area Code        Number
1235 Bordeaux Drive
Sunnyvale
CA 94089
408-222-8888 
2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD
 
(c) RELATIONSHIP TO ISSUER
(d) ADDRESS
Street, City, State, Zip Code
Elliott Schlam
 
Director
 
1235 Bordeaux Dr., Sunnyvale, CA 94089
 
 
 
INSTRUCTION:  The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.
 

3 (a)
Title of the Class of Securities To Be Sold
(b)
 
Name and Address of Each Broker Through Whom the Securities are to be Offered or Each Market Maker who is Acquiring the Securities
SEC USE ONLY
(c)
Number of Shares or Other Units To Be Sold
(See instr. 3(c))
(d)
Aggregate Market Value
(See instr. 3(d))
(e)
Number of Shares or Other Units Outstanding
(See instr. 3(e))
(f)
Approximate
Date of Sale
(See instr. 3(f))
(MO.   DAY   YR.)
(g)
Name of Each Securities Exchange
(See instr. 3(g))
 
Broker-Dealer
File Number
Common
stock
TD AMERITRADE
 
10,000
$191,500
12,671,761
08/30/2011
NASDAQ
               
               

 
 
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INSTRUCTIONS:
 
1. (a)  Name of issuer
 
(b)  Issuer’s I.R.S. Identification Number
 
(c)  Issuer’s S.E.C. file number, if any
 
(d)  Issuer’s address, including zip code
 
(e)  Issuer’s telephone number, including area code
 

2 . (a)   Name of person for whose account the securities are to be sold
 
(b)  Such person’s relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing)
 
(c)   Such person’s address, including zip code

 
3 . (a)   Title of the class of securities to be sold
 
(b)  Name and address of each broker through whom the securities are intended to be sold
 
(c)  Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
 
(d)  Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice
 
(e)  Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer
 
(f)   Approximate date on which the securities are to be sold
 
(g)  Name of each securities exchange, if any, on which the securities are intended to be sold

 
Potential  persons  who  are  to  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 1147 (08-07)

 
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TABLE I –– SECURITIES TO BE SOLD
 
Furnish the following information with respect to the acquisition of the securities to be sold
and with respect to the payment of all or any part of the purchase price or other consideration therefor:
 
Title of the Class
Date you
Acquired
 
Nature of Acquisition Transaction
Name of Person from Whom Acquired
(If gift, also give date donor acquired)
Amount of
Securities Acquired
Date of
Payment
 
Nature of Payment
Common
stock
08/30/2011
SAME-DAY-SALE EXERCISE
Supertex Inc
10,000
08/30/2011
Cash
 
INSTRUCTIONS:
If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

 
TABLE II –– SECURITIES SOLD DURING THE PAST 3 MONTHS
 
Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.
 
 
Name and Address of Seller
 
Title of Securities Sold
 
Date of Sale
Amount of
Securities Sold
 
Gross Proceeds
         
 
REMARKS:
 
 
INSTRUCTIONS:
See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
   ATTENTION: The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted   a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
     
 August  29, 2011    /s/ Elliott Schlam
 DATE OF NOTICE    (SIGNATURE)
     
     
 DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION, IF RELYING ON RULE 10B5-1    
 
The  notice  shall  be  signed  by  the  person  for  whose  account  the  securities  are  to  be  sold.   At  least  one  copyof  the  notice  shall  be  manually  signed.
Any  copies  not  manually  signed  shall  bear  typed  or  printed  signatures.

 
ATTENTION:  Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)
 
SEC  1147  (02-08)
 
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