SEC Form 4 · accession 0001213900-17-002304

SG BLOCKS, INC. · SGBX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — CFO · Director

Period of report

Mar 10, 2017

Accepted (ET)

Mar 14, 2017 · 6:20 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001023994

Table I — non-derivative securities

No Table I lines on this filing.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (right to buy)^F4,F1,F3	—	Mar 10, 2017	A	79,468	A	—	Mar 10, 2027	Common Stock	79,468	79,468	D
Stock Option (right to buy)^F4,F2,F3	—	Mar 10, 2017	A	52,978	A	—	Mar 10, 2027	Common Stock	52,978	52,978	D

F1The options, issued under the issuer's stock incentive plan, will have an exercise price equal to the price per share at which the public purchases shares of common stock in the offering pursuant to which a registration statement on Form S-1 was filed with the Securities and Exchange Commission on February 6, 2017.
F2The options, issued under the issuer's stock incentive plan, will have an exercise price equal to 120% of the price per share at which the public purchases shares of common stock in the offering pursuant to which a registration statement on Form S-1 was filed with the Securities and Exchange Commission on February 6, 2017.
F3The options will vest and become exercisable in three tranches, with 1/3 of each option vesting upon the achievement of any one of three performance targets, as specified in the stock option agreement.
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.

* The issuer intends to apply for quotation or listing under this symbol in the future.