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AEHR TEST SYSTEMS — Director's Dealing 2019
Oct 8, 2019
32300_dirs_2019-10-08_bbdfaf6a-ce5f-4593-ab7d-4e5c305c5878.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: AEHR TEST SYSTEMS (AEHR)
CIK: 0001040470
Period of Report: 2019-10-08
Reporting Person: ROSATI MARIO M (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-10-08 | Common Stock | M | 31918 | $0.8000 | Acquired | 35619 | Direct |
| 2019-10-08 | Common Stock | M | 10000 | $0.9700 | Acquired | 45619 | Direct |
| 2019-10-08 | Common Stock | S | 41918 | $1.6749 | Disposed | 3701 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-10-08 | Non-Qualified Stock Option (right to buy) | $0.8000 | M | 31918 | Disposed | 2019-11-28 | Common Stock (31918) | Direct |
| 2019-10-08 | Non-Qualified Stock Option (right to buy) | $0.97000 | M | 10000 | Disposed | 2020-01-22 | Common Stock (10000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 151016 | Indirect |
| Common Stock | 23468 | Indirect |
| Common Stock | 22500 | Indirect |
| Common Stock | 27000 | Indirect |
Footnotes
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.65 to $1.77, inclusive. The reporting person undertakes to provide to Aehr Test Systems, any security holder of Aehr Test Systems, 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 above.
F2: Shares held by Mario M. Rosati, Trustee of the Mario M. Rosati Trust U/D/T dated January 5, 1990.
F3: Shares held by Mario M. Rosati and Danelle Storm Rosati, Trustees of the Rosati Family Trust U/D/T dated May 23, 1997.
F4: Shares held by WS Investment Company, LLC (2001A), for which Mr. Rosati is a general partner.
F5: One sixth (1/6) of the total number of shares became exercisable on this date and an additional one sixth (1/6) of the total number of shares became exercisable each month thereafter.
F6: 2,500 shares became exercisable on this date and an additional one ninth (1/9) of 7,500 shares became exercisable each month thereafter.