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Silvaco Group, Inc.·4

Mar 19, 7:31 PM ET

Ngai-Pesic Katherine S. 4

Research Summary

AI-generated summary

Updated

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.