SEC Form 4 · accession 0001161697-16-000974
USBC, Inc. · USBC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark E Scott
Officer — Chief Financial Officer
Period of report
Jul 7, 2016
Accepted (ET)
Jul 12, 2016 · 6:10 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001074828
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jul 7, 2016 | M | 1,334 | $2.50 | A | 11,791 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Warrant | $2.50 | Jul 7, 2016 | M | 667 | D | Jun 14, 2013 | Jun 14, 2018 | Common Stock | 667 | 0 | D |
| Series B Warrant | $2.50 | Jul 7, 2016 | M | 667 | D | Jun 14, 2013 | Jun 14, 2018 | Common Stock | 667 | 0 | D |
| Option to Purchase Common StockF2 | $19.50 | holding | — | — | — | — | Jun 8, 2022 | Common Stock | 5,668 | 5,668 | D |
Explanation of responses
- F1Exercise of Warrants.
- F2Option shares fully-vested quarterly over 1 year commencing 06/08/2012.