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( Mark One ) ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended January 2 , 2021 0 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington , D.C. 20549 Form 10 - K TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from Commission file number 0-26946 Title of each class Common Stock ( $ 0.001 par value ) or Delaware ( State or other jurisdiction of incorporation or organization ) Large accelerated filer Non - accelerated filer 0 INTEVAC , INC . ( Exact name of registrant as specified in its charter ) to Trading Symbol ( s ) IVAC 3560 Bassett Street Santa Clara , California 95054 ( Address of principal executive office , including Zip Code ) Registrant's telephone number , including area code : ( 408 ) 986-9888 Securities registered pursuant to Section 12 ( b ) of the Act : ( I.R.S. Employer Identification No. ) 94-3125814 Securities registered pursuant to Section 12 ( g ) of the Act : None . Indicate by check mark if the registrant is a well - known seasoned issuer , as defined in Rule 405 of the Securities Act . Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15 ( d ) of the Act . Indicate by check mark whether the registrant ( 1 ) has filed all reports required to be filed by Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 during the preceding 12 months ( or for such shorter period that the registrant was required to file such reports ) , and ( 2 ) has been subject to such filing requirements for the past 90 days . Yes No Name of each exchange on which registered The Nasdaq Stock Market LLC ( Nasdaq Global Select ) Yes No Yes No Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S - T ( §232.405 of this chapter ) during the preceding 12 months ( or for such shorter period that the registrant was required to submit such files ) . Yes No Indicate by check mark whether the registrant is a large accelerated filer , an accelerated filer , a non - accelerated filer , smaller reporting company , or an emerging growth company . See the definitions of " large accelerated filer , " " accelerated filer , " " smaller reporting company , " and " emerging growth company " in Rule 12b - 2 of the Exchange Act .: Accelerated filer Smaller reporting company Emerging growth company If an emerging growth company , indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13 ( a ) of the Exchange Act . Indicate by check mark whether the registrant has filed a report on and attestation to its management's assessment of the effectiveness of its internal control over financial reporting under Section 404 ( b ) of the Sarbanes - Oxley Act ( 15 U.S.C. 7262 ( b ) ) by the registered public accounting firm that prepared or issued its audit report . Indicate by check mark whether the registrant is a shell company ( as defined in Rule 12b - 2 of the Exchange Act ) . Yes No As of June 27 , 2020 , the aggregate market value of voting and non - voting stock held by non - affiliates of the registrant was approximately $ 124,191,554 ( based on the closing price for shares of the registrant's Common Stock as reported by the Nasdaq Stock Market for the last trading day prior to that date ) . Shares of Common Stock held by each executive officer and director have been excluded in that such persons may be deemed to be affiliates . This determination of affiliate status is not necessarily a conclusive determination for other purposes . On February 12 , 2021 , 24,089,621 shares of the registrant's Common Stock , $ 0.001 par value , were outstanding . DOCUMENTS INCORPORATED BY REFERENCE . Portions of the registrant's Proxy Statement for the 2021 Annual Meeting of Stockholders are incorporated by reference into Part III . Such proxy statement will be filed within 120 days after the end of the fiscal year covered by this Annual Report on Form 10 - K .