SEC Form 4 · accession 0001724319-17-000002
CTI INDUSTRIES CORP · CTIB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey S Hyland
Officer — President · Director
Period of report
Dec 1, 2017
Accepted (ET)
Dec 5, 2017 · 10:42 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001042187
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Units | $3.79 | Dec 1, 2017 | A | 5,000 | A | Dec 1, 2017 | Dec 1, 2022 | Common Stock | 5,000 | 5,000 | D |
| Restricted Stock Units | $3.79 | Dec 1, 2017 | A | 5,000 | A | Dec 1, 2018 | Dec 1, 2022 | Common Stock | 5,000 | 10,000 | D |
| Restricted Stock Units | $3.79 | Dec 1, 2017 | A | 5,000 | A | Dec 1, 2019 | Dec 1, 2022 | Common Stock | 5,000 | 15,000 | D |
| Restricted Stock Units | $3.79 | Dec 1, 2017 | A | 5,000 | A | Dec 1, 2020 | Dec 1, 2022 | Common Stock | 5,000 | 20,000 | D |
| Restricted Stock Units | $3.79 | Dec 1, 2017 | A | 5,000 | A | Dec 1, 2021 | Dec 1, 2022 | Common Stock | 5,000 | 25,000 | D |
| Incentive Stock Options | $3.79 | Dec 1, 2017 | A | 10,834 | A | May 1, 2018 | Dec 1, 2022 | Common Stock | 10,834 | 35,834 | D |
| Incentive Stock Options | $3.79 | Dec 1, 2017 | A | 10,834 | A | May 1, 2019 | Dec 1, 2022 | Common Stock | 10,834 | 46,668 | D |
| Incentive Stock Options | $3.79 | Dec 1, 2017 | A | 10,834 | A | May 1, 2020 | Dec 1, 2022 | Common Stock | 10,834 | 57,502 | D |
| Incentive Stock Options | $3.79 | Dec 1, 2017 | A | 10,834 | A | May 1, 2021 | Dec 1, 2022 | Common Stock | 10,834 | 68,336 | D |
| Incentive Stock Options | $3.79 | Dec 1, 2017 | A | 10,834 | A | May 1, 2022 | Dec 1, 2022 | Common Stock | 10,834 | 79,170 | D |
| Incentive Stock Options | $3.79 | Dec 1, 2017 | A | 10,830 | A | Dec 1, 2022 | Dec 1, 2022 | Common Stock | 10,830 | 90,000 | D |
| Non-Qualified Options | $3.79 | Dec 1, 2017 | A | 43,342 | A | May 1, 2018 | Dec 1, 2022 | Common Stock | 43,342 | 133,342 | D |
| Non-Qualified Options | $3.79 | Dec 1, 2017 | A | 43,342 | A | May 1, 2019 | Dec 1, 2022 | Common Stock | 43,342 | 176,684 | D |
| Non-Qualified Options | $3.79 | Dec 1, 2017 | A | 43,342 | A | May 1, 2020 | Dec 1, 2022 | Common Stock | 43,342 | 220,026 | D |
| Non-Qualified Options | $3.79 | Dec 1, 2017 | A | 43,342 | A | May 1, 2021 | Dec 1, 2022 | Common Stock | 43,342 | 263,368 | D |
| Non-Qualified Options | $3.79 | Dec 1, 2017 | A | 43,342 | A | May 1, 2022 | Dec 1, 2022 | Common Stock | 43,342 | 306,710 | D |
| Non-Qualified Options | $3.79 | Dec 1, 2017 | A | 43,290 | A | Dec 1, 2022 | Dec 1, 2022 | Common Stock | 43,290 | 350,000 | D |