Novanta director reports RSU grant and share swap

Novanta Inc. director Mauricio Maxine Lum reported equity compensation activity involving restricted stock units (RSUs) and common shares.

Rhea-AI Filing Summary

Novanta Inc. director Mauricio Maxine Lum reported equity compensation activity involving restricted stock units (RSUs) and common shares. On January 2, 2026, 1,325 RSUs, each equal to one Novanta common share, were settled into 1,325 shares of common stock at a reported price of $0 per share, bringing Lum’s directly held common stock to 4,548 shares.

On the same date, Lum received a new award of 1,799 RSUs. Each of these RSUs represents the right to receive one Novanta common share on the first anniversary of the grant date (or the next business day). The filing notes that these RSUs were fully vested and non-forfeitable on the grant date and that Lum now directly holds 1,799 RSUs after the reported transactions.

Insider Trade Summary

1,325 shares exercised/converted

Exercise 3 txns

Insider Mauricio Maxine Lum

Role Director

Type	Security	Shares	Price	Value
Exercise	Restricted Stock Units	1,325	$0.00	$0.00
Grant/Award	Restricted Stock Units	1,799	$0.00	$0.00
Exercise	Common Stock	1,325	$0.00	$0.00

Holdings After Transaction: Restricted Stock Units — 1,799 contracts (Direct); Common Stock — 4,548 shares (Direct)

Footnotes (3)

1. F1. Each Restricted Stock Unit ("RSU") was the economic equivalent of one Novanta Inc. common share. On January 2, 2026, the RSUs were settled in Novanta Inc. common shares.
2. F2. Each Restricted Stock Unit represents the right to receive one Novanta Inc. common share on the first anniversary of the Grant Date (or, if such date is not a business day, on the first business day immediately following the first anniversary of the Grant Date).
3. F3. The Restricted Stock Units were fully vested and non-forfeitable on the Grant Date.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Form 4 Insider Transactions: What Each Field Means →

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

Accepted by SEC EDGAR 01/06/2026 - 05:13 PM EST Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Mauricio Maxine Lum

(Last) (First) (Middle)

C/O NOVANTA INC.

125 MIDDLESEX TURNPIKE

(Street)

BEDFORD MA 01730

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
NOVANTA INC [ NOVT ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
01/02/2026

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction 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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	01/02/2026		M		1,325	A	(1)	4,548	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Restricted Stock Units	(1)	01/02/2026		M			1,325	(1)	(1)	Common Stock	1,325	(1)	0	D
Restricted Stock Units	(2)	01/02/2026		A		1,799		(3)	(3)	Common Stock	1,799	$0	1,799	D

Explanation of Responses:

1. Each Restricted Stock Unit ("RSU") was the economic equivalent of one Novanta Inc. common share. On January 2, 2026, the RSUs were settled in Novanta Inc. common shares.

2. Each Restricted Stock Unit represents the right to receive one Novanta Inc. common share on the first anniversary of the Grant Date (or, if such date is not a business day, on the first business day immediately following the first anniversary of the Grant Date).

3. The Restricted Stock Units were fully vested and non-forfeitable on the Grant Date.

Remarks:

Power of Attorney on file

	/s/ John Burke, Attorney-in-Fact	01/06/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.