SEC Form 3 · accession 0001209191-18-055709
ASTROTECH Corp · ASTC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Winn Interests, Ltd.
10% Owner
Period of report
Oct 9, 2018
Accepted (ET)
Oct 19, 2018 · 5:01 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001001907
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 523,386 | D | ||
| Common StockF1 | holding | — | — | — | 3,559 | I | By Charles Winn Rollover 401(k). See footnote (1) | |
| Common StockF1 | holding | — | — | — | 1,440 | I | By Charles Winn's wife. See footnote (1) | |
| Common StockF1 | holding | — | — | — | 3,440 | I | See footnote (1) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1523,386 of these shares of Common Stock are held of record by Winn Interests, Ltd. ("Winn Interests"). Each of Charles Winn, Tom Winn and Southern Winn are 33% limited partners of Winn Interests and, as a result, have shared voting and dispositive power over the shares held by Winn Interests. Each of Charles Winn, Tom Winn and Southern Winn disclaim beneficial ownership of the shares held by Winn Interests except to the extent of his proportionate pecuniary interest therein. In addition, Charles Winn owns 3440 shares of Common Stock directly and 3559 shares of Common Stock through his rollover IRA, and may be deemed to beneficially own 1440 shares of Common Stock owned directly by his wife, which beneficial ownership he disclaims.