SEC Form 4 · accession 0001185185-18-001413
GLOBALSCAPE INC · GSB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Karen J. Young
Officer — Chief Financial Officer
Period of report
Aug 7, 2018
Accepted (ET)
Aug 10, 2018 · 4:08 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001112920
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock OptionF4 | $3.59 | Aug 7, 2018 | A | 78,369 | A | — | Aug 7, 2028 | Common Stock | 78,369 | 98,669 | D |
| Non-Qualified Stock OptionF4 | $3.59 | Aug 7, 2018 | A | 21,631 | A | — | Aug 7, 2028 | Common Stock | 21,631 | 120,300 | D |
| Non-Qualified Stock OptionF1 | $2.40 | holding | — | — | — | — | Jan 29, 2025 | Common Stock | 10,000 | 10,000 | D |
| Incentive Stock OptionF2 | $3.52 | holding | — | — | — | — | Feb 1, 2026 | Common Stock | 5,300 | 15,300 | D |
| Incentive Stock OptionF3 | $3.73 | holding | — | — | — | — | Feb 8, 2027 | Common Stock | 5,000 | 20,300 | D |
Explanation of responses
- F1These shares are fully vested.
- F23,533 shares are fully vested. The remaining shares under this option will vest on 2/1/2019.
- F31,667 shares are fully vested. The remaining shares will vest on the annual anniversary date of the grand date of the option.
- F4One third of the total shares under this option vest and are available for purchase on each annual anniversary date of the grant date of the option.