SEC Form 4 · accession 0001638599-18-000617
OURPETS CO · OPCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John W Spirk
Director
Period of report
Jun 6, 2018
Accepted (ET)
Jun 8, 2018 · 2:29 pm 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 StockF6 | Jun 6, 2018 | M | 7,000 | $0.61 | A | 66,256 | D | |
| Common StockF7 | Jun 6, 2018 | F | 5,405 | $0.61 | D | 60,851 | D | |
| Common Stock | holding | — | — | — | 57,155 | I | By Partnership | |
| Common Stock | holding | — | — | — | 0 | D | ||
| Common StockF3 | holding | — | — | — | 59,579 | D | ||
| Common StockF3 | holding | — | — | — | 54,157 | D | ||
| Common StockF5 | holding | — | — | — | 61,157 | D | ||
| Common StockF5 | holding | — | — | — | 59,256 | D | ||
| Common Stock | holding | — | — | — | 92,875 | I | By Partnership |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionF4 | $0.79 | Jun 6, 2018 | A | 12,000 | A | Jun 6, 2018 | Jun 6, 2023 | Common | 12,000 | 12,000 | D |
| Preferred StockF2 | $0.70 | holding | — | — | — | Jan 28, 2010 | — | Common | 35,720 | 0 | I |
| 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 |
| OptionF1 | $0.44 | holding | — | — | — | May 24, 2014 | May 25, 2017 | Common | 7,000 | 0 | D |
| Warrant | $0.50 | holding | — | — | — | Nov 8, 2012 | Nov 8, 2017 | Common | 16,650 | 16,650 | I |
| OptionF4 | $0.61 | holding | — | — | — | Jun 10, 2013 | Jun 10, 2018 | Common | 0 | 0 | D |
| OptionF1 | $0.27 | holding | — | — | — | May 15, 2011 | May 15, 2014 | Common | 7,000 | 0 | D |
| Warrant | $0.4998 | holding | — | — | — | Jun 20, 2008 | Jun 20, 2013 | Common | 31,909 | 0 | I |
| Option | $0.45 | holding | — | — | — | Jun 20, 2008 | Jun 20, 2013 | Common | 7,000 | 0 | D |
| OptionF4 | $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 |
| OptionF4 | $1.59 | holding | — | — | — | Jun 5, 2017 | Jun 5, 2022 | 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.
- F2Conversion of Preferred Stock into Common Stock has no expiration date
- F3Stock was acquired via cashless exercise of options granted on 5-27-11
- F4Options are immediately exercisable as of grant date
- F5Stock was acquired via cashless exercise of options granted on 5-25-12
- F6Shares were acquired via cashless exercise of options granted on 6-10-13.
- F7Shares were disposed of via cashless exercise of options granted on 6-10-13