SEC Form 4 · accession 0001316415-16-000007
KVH INDUSTRIES INC \DE\ · KVHI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert J Balog
Officer — Senior VP Engineering
Period of report
Nov 28, 2016
Accepted (ET)
Nov 30, 2016 · 4:44 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001007587
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 28, 2016 | J | 3,293 | $9.32 | A | 81,947 | D | |
| Common Stock | Nov 28, 2016 | S | 3,293 | $10.45 | D | 78,654 | D | |
| Common Stock | Nov 29, 2016 | J | 9,832 | $9.32 | A | 88,486 | D | |
| Common Stock | Nov 29, 2016 | S | 9,832 | $10.45 | D | 78,654 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Options-Right to BuyF3 | $9.32 | Nov 28, 2016 | J | 3,293 | D | Feb 28, 2013 | Feb 28, 2017 | Common Stock | 3,293 | 22,957 | D |
| Employee Stock Options-Right to BuyF4,F3 | $9.32 | Nov 29, 2016 | J | 9,832 | D | Feb 28, 2013 | Feb 28, 2017 | Common Stock | 9,832 | 13,125 | D |
Explanation of responses
- F1Shares acquired via the exercise of an expiring stock option pursuant to the terms & conditions of the company's 2006 Stock Incentive Plan.
- F2Exercise of an expiring stock option pursuant to the terms & conditions of the company's 2006 Stock Incentive Plan.
- F3Date option fully vested.
- F4Represents total vested/unexercised options "beneficially owned".