SEC Form 4 · accession 0001638599-17-000562
OURPETS CO · OPCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph T Aveni
Director
Period of report
Jun 5, 2017
Accepted (ET)
Jun 7, 2017 · 9:36 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001094139
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 192,000 | I | By Trustee | |
| Common Stock | holding | — | — | — | 0 | D | ||
| Common StockF2 | holding | — | — | — | 0 | D | ||
| Common StockF2 | holding | — | — | — | 466,481 | D | ||
| Common StockF3 | holding | — | — | — | 473,481 | D | ||
| Common StockF3 | holding | — | — | — | 468,059 | D | ||
| Cmmon StockF5 | holding | — | — | — | 475,509 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionF1 | $0.44 | May 17, 2017 | M | 7,000 | D | May 25, 2014 | May 25, 2017 | Common | 7,000 | 0 | D |
| OptionF4 | $1.59 | Jun 5, 2017 | A | 7,000 | A | Jun 5, 2017 | Jun 5, 2022 | Common | 7,000 | 7,000 | D |
| OptionF1 | $0.75 | holding | — | — | — | May 21, 2012 | May 21, 2015 | Common | 7,000 | 0 | D |
| OptionF1 | $0.79 | holding | — | — | — | May 27, 2013 | May 27, 2016 | Common | 7,000 | 0 | D |
| Option | $0.61 | holding | — | — | — | Jun 10, 2013 | Jun 10, 2018 | Common | 7,000 | 7,000 | D |
| Option | $0.45 | holding | — | — | — | Jun 20, 2010 | Jun 20, 2013 | Common Stock | 7,000 | 0 | D |
| OptionF2,F1 | $0.27 | holding | — | — | — | May 15, 2011 | May 15, 2014 | Common | 7,000 | 0 | D |
| Option | $1.09 | holding | — | — | — | Jun 2, 2014 | Jun 2, 2019 | Common | 7,000 | 7,000 | D |
| OptionF4 | $0.70 | holding | — | — | — | May 27, 2015 | May 27, 2020 | Common | 7,000 | 7,000 | D |
| OptionF4 | $0.95 | holding | — | — | — | Jun 1, 2016 | Jun 1, 2021 | Common | 7,000 | 7,000 | D |
Explanation of responses
- F1Options vest 1/3 on each of the 2nd, 3rd and 4th anniversaries of grant date
- F2Shares were acquired through cashless exercise of options originally granted May 15, 2009.
- F3Shares were acquired through cashless exercise of options originally granted May 27, 2011
- F4Options vest immediately as of grant date.
- F5Shares were acquired through exercise of options granted on May 25, 2012