SEC Form 4 · accession 0001240143-17-000001
CTI INDUSTRIES CORP · CTIB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stanley M Brown
Director
Period of report
Dec 30, 2016
Accepted (ET)
Jan 4, 2017 · 3:38 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001042187
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 30, 2016 | M | 4,906 | $0.00 | D | 0 | D | |
| Common Stock | Dec 30, 2016 | J | 873 | $0.00 | A | 873 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option | $5.06 | Dec 30, 2016 | M | 181 | D | Dec 30, 2016 | Dec 30, 2020 | Common Stock | 181 | 8,444 | D |
| Stock Option | $5.06 | Dec 30, 2016 | M | 725 | D | Jun 30, 2016 | Dec 30, 2020 | Common Stock | 725 | 7,719 | D |
| Stock Option | $5.17 | Dec 30, 2016 | M | 1,000 | D | May 30, 2016 | Nov 30, 2017 | Common Stock | 1,000 | 6,719 | D |
| Stock Option | $5.17 | Dec 30, 2016 | M | 1,000 | D | May 30, 2015 | Nov 30, 2017 | Common Stock | 1,000 | 5,719 | D |
| Stock Option | $5.17 | Dec 30, 2016 | M | 1,000 | D | May 30, 2014 | Nov 30, 2017 | Common Stock | 1,000 | 4,719 | D |
| Stock Option | $5.17 | Dec 30, 2016 | M | 1,000 | D | May 30, 2013 | Nov 30, 2017 | Common Stock | 1,000 | 3,719 | D |
Explanation of responses
- F1Cashless exercise followed by acquisition of stock at $6.28 per share