SEC Form 4 · accession 0001209191-16-144684
OPTICAL CABLE CORP · OCC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Neil D Wilkin Jr.
Officer — Chairman, President and CEO · Director · 10% Owner
Period of report
Sep 30, 2016
Accepted (ET)
Oct 4, 2016 · 6:41 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001000230
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Oct 4, 2016 | P | 1,400 | $2.58 | A | 3,200 | I | By Wilkin Capital Fund I, LLC |
| Common StockF1 | Oct 3, 2016 | P | 100 | $2.62 | A | 1,800 | I | By Wilkin Capital Fund I, LLC |
| Common StockF1 | Sep 30, 2016 | P | 700 | $2.52 | A | 1,700 | I | By Wilkin Capital Fund I, LLC |
| Common Shares | holding | — | — | — | 907,500 | D | ||
| Common StockF2 | holding | — | — | — | 315 | I | By Daughter #1 | |
| Common StockF2 | holding | — | — | — | 315 | I | By Daughter #2 | |
| Common StockF2 | holding | — | — | — | 115 | I | By Daughter #3 | |
| Common Stock | holding | — | — | — | 315 | I | By Son |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares are held by Wilkin Capital Fund I, LLC for the benefit of Neil D. Wilkin, Jr.
- F2The reporting person disclaims beneficial ownership of all securities held by his children, and this report should not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.