SEC Form 4 · accession 0001213900-17-000906
SG BLOCKS, INC. · SGBX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mahesh S Shetty
Officer — CFO · Director
Period of report
Jan 31, 2017
Accepted (ET)
Feb 2, 2017 · 5:09 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001023994
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1,F4,F2 | $3.00 | Jan 31, 2017 | A | 13,200 | A | Jan 31, 2017 | Jan 31, 2027 | Common Stock | 13,200 | 48,373 | D |
| Stock Option (right to buy)F1,F4,F3 | $3.00 | Jan 31, 2017 | A | 55,838 | A | Mar 31, 2017 | Jan 31, 2027 | Common Stock | 55,838 | 104,211 | D |
Explanation of responses
- F1The securities reported herein are presented to give effect to a 1-for-3 reverse stock split to be completed by the Company after the filing of this report.
- F2The options were issued under the issuer's stock incentive plan and vested in full on the grant date.
- F3The options were issued under the issuer's stock incentive plan and will vest in equal quarterly installments over two years from the grant date so long as the reporting person remains an employee of the issuer.
- F4The options were granted under the issuer's stock incentive plan and without payment of consideration in connection with the reporting person's employment with the issuer.
Remarks
* The issuer intends to apply for quotation or listing under this symbol in the future.