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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who 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 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FAISON RALPH E C/O PULSE ELECTRONICS CORPORATION 12220 WORLD TRADE DRIVE SAN DIEGO, CA 92128 |
X | Chairman, President and CEO |
/s/ Ralph E. Faison | 05/24/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The reported transactions resulted in a claim under Section 16(b) of the Securities Exchange Act of 1934 amounting to $70,941.76. The reporting person voluntarily paid the full amount to the issuer. |
(2) | The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.7825 to $1.80 per share. The reporting person undertakes to provide to Pulse Electronics Corporation, any security holder of Pulse Electronics Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased by him at each separate price on May 18, 2012. |
(3) | The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.755 to $1.85 per share. The reporting person undertakes to provide to Pulse Electronics Corporation, any security holder of Pulse Electronics Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased by him at each separate price on May 21, 2012. |
(4) | The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.83 to $1.89 per share. The reporting person undertakes to provide to Pulse Electronics Corporation, any security holder of Pulse Electronics Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased by him at each separate price on May 22, 2012. |
Remarks: Note: This amendment is filed to correct the information in footnotes 2, 3 and 4 that referenced sales rather than purchases of stock by the reporting person. |