SEC Form 4 · accession 0001209191-18-054771
ASTROTECH Corp · ASTC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Boone Pickens III
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Oct 9, 2018
Accepted (ET)
Oct 11, 2018 · 3:33 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001001907
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Preferred StockF1 | $2.35 | Oct 9, 2018 | A | 866,950 | A | — | — | Common Stock | 866,950 | 866,950 | D |
Explanation of responses
- F1The Reporting Person purchased Series B Preferred Stock from the Company on October 9, 2018. The Series B Preferred Stock has no expiration date and will be automatically convertible into an aggregate of 866,950 shares of common stock upon receipt of shareholder approval in accordance with Listing Rule 5635(b).