SEC Form 4 · accession 0001209191-16-124964
BSQUARE CORP /WA · BSQR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott Bruce Caldwell
Officer — VP WW OEM Sales
Period of report
May 31, 2016
Accepted (ET)
Jun 2, 2016 · 1:53 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001054721
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | May 31, 2016 | M | 3,755 | $3.32 | A | 39,955 | D | |
| Common Stock | May 31, 2016 | M | 6,094 | $3.11 | A | 46,049 | D | |
| Common Stock | Jun 1, 2016 | M | 17,870 | $3.32 | A | 63,919 | D | |
| Common Stock | Jun 1, 2016 | M | 5,000 | $2.17 | A | 68,919 | D | |
| Common Stock | Jun 1, 2016 | M | 10,000 | $2.41 | A | 78,919 | 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 (right to buy)F1 | $3.32 | May 31, 2016 | M | 3,755 | D | Feb 26, 2015 | Feb 26, 2024 | Common Stock | 3,755 | 0 | D |
| Stock Option (right to buy)F2 | $3.11 | May 31, 2016 | M | 6,094 | D | Apr 7, 2013 | Jan 7, 2023 | Common Stock | 6,094 | 0 | D |
| Stock Option (right to buy)F1 | $3.32 | Jun 1, 2016 | M | 17,870 | D | Feb 26, 2015 | Feb 26, 2024 | Common Stock | 17,870 | 0 | D |
| Stock Option (right to buy)F2 | $2.17 | Jun 1, 2016 | M | 5,000 | D | Feb 13, 2007 | Nov 13, 2016 | Common Stock | 5,000 | 0 | D |
| Stock Option (right to buy)F2 | $2.41 | Jun 1, 2016 | M | 10,000 | D | Jan 2, 2010 | Oct 2, 2019 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1The option vests 33% 1 year from the grant date and thereafter monthly in equal amounts over the remaining 2 year period.
- F2The option vests quarterly in equal amounts over a 4 year period.