Ngai-Pesic Katherine S. 4

4 · Silvaco Group, Inc. · Filed Mar 19, 2026

AI-generated summary of this filing

Updated Mar 19, 2026

Silvaco (SVCO) 10% Owner Katherine Ngai-Pesic Sells Shares

What Happened

Katherine Ngai-Pesic, reported as a 10% owner of Silvaco Group, Inc. (SVCO), disposed of a total of 950,000 shares in three transactions and later received a 3,259-share award. The sales were: 250,000 shares at $2.15 on 2025-06-26 ($538,500), 300,000 shares at $2.26 on 2025-09-16 ($677,550), and 400,000 shares at $2.00 on 2025-11-25 ($799,520). The filing also reports an acquisition/award of 3,259 shares on 2026-03-17 with no cash paid (reported as $0).

Key Details

Transaction dates and prices:
- 2025-06-26: Sold 250,000 @ $2.15 — $538,500
- 2025-09-16: Sold 300,000 @ $2.26 — $677,550
- 2025-11-25: Sold 400,000 @ $2.00 — $799,520
- 2026-03-17: Awarded 3,259 shares @ $0.00
Total sold: 950,000 shares for approximately $2,015,570.
Shares owned after transaction: Not specified in the excerpted details of this summary (check full Form 4 for post-transaction beneficial ownership).
Footnotes / notable items:
- F1: The transactions were reported late; the reporting person originally treated them as non-reportable pledges and is now reporting them. The transactions are the subject of an arbitral dispute.
- F2: The reported sale prices reflect an implied per-share value under a non-recourse stock-loan arrangement (loan proceeds were ~45% of market value), not a negotiated open-market sale price.
- F3: The 3,259 shares were awarded in lieu of a non-employee director cash retainer (director compensation).
Timeliness: Filing was submitted 2026-03-19 for transactions beginning 2025-06-26 (late filing). The filer states they do not believe short-swing profit recovery under Section 16(b) is likely based on reported prices.

Context

These entries are primarily disposals (sales/stock-transfer-style transactions), which are often routine but can matter more for 10% owners because they are large stakeholders. The F2 footnote indicates at least some transfers were structured as a non-recourse stock loan rather than a straight negotiated sale, which affects how the per-share price should be interpreted. The 3,259-share award reflects director compensation and was not a cash purchase.

Form 4

Period: 2025-06-26

Director10% OwnerOther

Transactions

Footnotes (3)

[F1]The transactions reported in this Form 4 have been reported after the reporting deadlines because the Reporting Person initially believed each of the transactions constituted a non-reportable pledge of Issuer securities. The Reporting Person has subsequently determined to report the transactions based on the terms of the arrangement. The nature of the transactions is currently the subject of a dispute in an arbitral proceeding. Based on the reported transaction prices, the Reporting Person does not believe that any profit would be recoverable from any opposite-way transactions within six months under Section 16(b) of the Exchange Act.
[F2]The reported price reflects the implied per-share value of shares transferred pursuant to an arrangement described as a non-recourse stock loan, in which the shares were transferred to the counterparty and the loan proceeds were limited to approximately 45% of the market value of the transferred shares, as determined under the terms of the arrangement, rather than a negotiated sale price.
[F3]The shares of Issuer common stock were awarded to the Reporting Person pursuant to an amendment to the Issuer's non-employee director compensation plan in lieu of the quarterly cash retainer for the fourth quarter of fiscal 2025, with a fair market value equal to such retainer.

Signature

/s/ Candace Jackson, as Attorney-in-Fact|2026-03-19

1 file