SEC Form 4 · accession 0001209191-18-005414
Actua Corp · ACTA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
H Richard Haverstick Jr.
Director
Period of report
Jan 23, 2018
Accepted (ET)
Jan 25, 2018 · 4:58 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001085621
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $.001 per share | Jan 23, 2018 | M | 25,000 | $9.02 | A | 60,918 | D | |
| Common Stock, par value $.001 per shareF1 | Jan 23, 2018 | F | 14,318 | $15.75 | D | 46,600 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Right | $9.02 | Jan 23, 2018 | M | 6,250 | D | Jun 17, 2017 | Jun 17, 2024 | Common Stock, par value $.001 per share | 6,250 | 18,750 | D |
| Stock Appreciation Right | $9.02 | Jan 23, 2018 | M | 18,750 | D | Dec 13, 2017 | Jun 17, 2024 | Common Stock, par value $.001 per share | 18,750 | 0 | D |
Explanation of responses
- F1This amount reflects shares withheld by the Issuer to pay exercise price.