SEC Form 4 · accession 0001185185-16-005973
GLOBALSCAPE INC · GSB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David L Mann
Director
Period of report
Dec 15, 2016
Accepted (ET)
Dec 19, 2016 · 4:15 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 | Dec 15, 2016 | M | 20,000 | $2.80 | A | 1,646,971 | 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 | $2.80 | Dec 16, 2016 | M | 20,000 | D | Dec 19, 2006 | Dec 19, 2016 | Common Stock | 20,000 | 0 | D |
| Stock Option (right to buy)F1 | $2.00 | holding | — | — | — | Jun 5, 2008 | Jun 5, 2018 | Common Stock | 20,000 | 40,000 | D |
| Stock Option (right to buy)F1 | $3.10 | holding | — | — | — | Jun 1, 2007 | Jun 1, 2017 | Common Stock | 20,000 | 40,000 | D |
Explanation of responses
- F1Unexercised option to purchase shares of Globalscape common stock.
- F2Option to purchase common stock exercised in full on 12/15/2016.