SEC Form 3 · accession 0001029744-19-000033
SONIC FOUNDRY INC · SOFO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Norregaard
Officer — Chief Operating Officer
Period of report
Mar 4, 2019
Accepted (ET)
Mar 14, 2019 · 2:42 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001029744
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 5,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Common Stock Option | $6.74 | holding | — | — | — | Apr 15, 2013 | Apr 15, 2023 | Common Stock | 5,000 | — | D |
| Employee Common Stock OptionF1 | $9.36 | holding | — | — | — | — | Nov 10, 2024 | Common Stock | 2,500 | — | D |
| Employee Common Stock OptionF2 | $7.33 | holding | — | — | — | — | Nov 10, 2025 | Common Stock | 2,500 | — | D |
| Employee Common Stock OptionF3 | $4.75 | holding | — | — | — | — | Dec 27, 2026 | Common Stock | 2,500 | — | D |
| Employee Common Stock OptionF4 | $2.49 | holding | — | — | — | — | Jan 17, 2028 | Common Stock | 11,250 | — | D |
| Employee Common Stock OptionF5 | $0.66 | holding | — | — | — | — | Dec 24, 2018 | Common Stock | 11,250 | — | D |
Explanation of responses
- F1(1) 833 exercisable 11/10/2015 and 11/10/2016, 834 exercisable 11/10/2017
- F2(2) 833 exercisable 11/10/2016 and 11/10/2017, 834 exercisable 11/10/2018
- F3(3) 833 exercisable 12/27/2017 and 12/27/2018, 834 exercisable 12/27/2019
- F4(4) 3,750 exercisable at 1/17/2019, 1/17/2020 and 1/17/2021
- F5(5) 3,750 exercisable at 12/24/2019, 12/24/2020 and 12/24/2021