Annual Statement of Changes in Beneficial Ownership (5)
June 08 2020 - 05:21PM
Edgar (US Regulatory)
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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Form 3 Holdings Reported
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Form 4 Transactions Reported
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Conver Timothy E | 2. Issuer Name and Ticker or Trading SymbolAeroVironment Inc [AVAV] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) __X__ Other (specify below) Chairman of the Board |
(Last)
(First)
(Middle)
C/O AEROVIRONMENT, INC., 900 INNOVATORS WAY | 3. Statement for Issuer's Fiscal Year Ended (MM/DD/YYYY) 4/30/2020 |
(Street)
SIMI VALLEY, CA 93065
(City)
(State)
(Zip)
| 4. If Amendment, Date Original Filed(MM/DD/YYYY) | 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3) | 2. Trans. Date | 2A. Deemed Execution Date, if any | 3. Trans. Code (Instr. 8) | 4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) |
Amount | (A) or (D) | Price |
Common Stock | 7/11/2019 | | J (1) | 4722 | D | $0 | 48734 | D | |
Common Stock | 7/11/2019 | | J (1) | 4722 | A | $0 | 1038128 | I | See Footnote (2) |
Common Stock | 10/18/2019 | | J (1) | 2576 | D | $0 | 48734 | D | |
Common Stock | 10/18/2019 | | J (1) | 2576 | A | $0 | 1038128 | I | See Footnote (2) |
Common Stock | | | | | | | 330000 (3) | I | See Footnote (4) |
Common Stock | | | | | | | 80000 (5) | I | See Footnote (6) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (MM/DD/YYYY) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Transaction was a transfer of direct ownership by reporting person to indirect ownership (Conver Family Trust). |
(2) | Held by The Conver Family Trust, of which Mr. Conver is one of the trustees. Mr. Conver disclaims beneficial ownership of any securities in which he does not have a pecuniary interest. |
(3) | Held by C5 Holdings LLC, a Delaware limited liability company. |
(4) | The reporting person is the manager of C5 Holdings LLC and consequently may be deemed to have sole voting control and investment discretion over securities owned by C5 |
(5) | Held by Sgt. Kay Foundation, a Washington nonprofit corporation. |
(6) | The reporting person's spouse is a director of Sgt. Kay Foundation and consequently may be deemed to have voting control and investment discretion over securities owned by Sgt. Kay Foundation. The reporting person has no voting or dispositive power with respect to such securities, and disclaims beneficial ownership of the reported securities held by Sgt. Kay Foundation. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Conver Timothy E C/O AEROVIRONMENT, INC. 900 INNOVATORS WAY SIMI VALLEY, CA 93065 | X |
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| Chairman of the Board |
Signatures
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/s/ Kasey Hannah, Attorney-in-Fact | | 6/8/2020 |
**Signature of Reporting Person | Date |
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