SEC Form 4/A · accession 0001185185-16-003585
GLOBALSCAPE INC · GSB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
David L Mann
Director
Period of report
Feb 1, 2016
Accepted (ET)
Feb 3, 2016 · 4:17 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001112920
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stock | Feb 1, 2016 | P | 10,000 | $3.33 | A | 1,606,971 | 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)F2 | $2.00 | holding | — | — | — | Jun 5, 2008 | Jun 5, 2018 | Common Stock | 20,000 | 60,000 | D |
| Stock Option (right to buy)F2 | $3.10 | holding | — | — | — | Jun 1, 2007 | Jun 1, 2017 | Common Stock | 20,000 | 60,000 | D |
| Stock Option (right to buy)F2 | $2.80 | holding | — | — | — | Dec 19, 2006 | Dec 19, 2016 | Common Stock | 20,000 | 60,000 | D |
Explanation of responses
- F1The reporting person's purchase of GSB common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of 10,000 shares, with the reporting person's sale of 2,854 shares of GSB common stock at a price of $4.15 per share on November 2, 2105 and 7,146 shares of GSB common stock at a price of $3.95 per share on November 3, 2105. The reporting person has agreed to pay to GSB the full amount of the profit realized in connection with the short-swing transaction, less transaction costs.
- F2Unexercised option to purchase shares of Globalscape common stock