SEC Form 4 · accession 0001209191-17-018961
AIRGAIN INC · AIRG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frances Kordyback
Director
Period of report
Mar 3, 2017
Accepted (ET)
Mar 7, 2017 · 6:39 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001272842
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 3, 2017 | J | 2,000 | $0.00 | D | 0 | D | |
| Common Stock | Mar 6, 2017 | M | 6,000 | $2.30 | A | 6,000 | D | |
| Common Stock | Mar 6, 2017 | M | 3,000 | $3.10 | A | 9,000 | D | |
| Common Stock | Mar 6, 2017 | M | 38,878 | $1.60 | A | 47,878 | D | |
| Common Stock | Mar 6, 2017 | M | 4,000 | $2.20 | A | 51,878 | D | |
| Common Stock | Mar 6, 2017 | M | 10,070 | $1.90 | A | 61,948 | D | |
| Common Stock | Mar 6, 2017 | M | 8,000 | $2.60 | A | 69,948 | 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 | $2.30 | Mar 6, 2017 | M | 6,000 | D | — | Jun 12, 2023 | Common Stock | 6,000 | 0 | D |
| Stock Option (Right to Buy)F2 | $3.10 | Mar 6, 2017 | M | 3,000 | D | — | May 13, 2024 | Common Stock | 3,000 | 0 | D |
| Stock Option (Right to Buy)F2 | $1.60 | Mar 6, 2017 | M | 38,878 | D | — | Jun 11, 2025 | Common Stock | 38,878 | 0 | D |
| Stock Option (Right to Buy)F2 | $2.20 | Mar 6, 2017 | M | 2,000 | D | — | May 7, 2017 | Common Stock | 2,000 | 0 | D |
| Stock Option (Right to Buy)F2 | $1.90 | Mar 6, 2017 | M | 10,070 | D | — | May 24, 2026 | Common Stock | 10,070 | 0 | D |
| Stock Option (Right to Buy)F2 | $2.20 | Mar 6, 2017 | M | 2,000 | D | — | Dec 10, 2017 | Common Stock | 2,000 | 0 | D |
| Stock Option (Right to Buy)F2 | $2.60 | Mar 6, 2017 | M | 2,000 | D | — | Mar 17, 2019 | Common Stock | 2,000 | 0 | D |
| Stock Option (Right to Buy)F2 | $2.60 | Mar 6, 2017 | M | 2,000 | D | — | Dec 3, 2019 | Common Stock | 2,000 | 0 | D |
| Stock Option (Right to Buy)F2 | $2.60 | Mar 6, 2017 | M | 4,000 | D | — | Jan 18, 2011 | Common Stock | 4,000 | 0 | D |
Explanation of responses
- F1Represents a disposition of shares for no value by the Reporting Person to Northwater Intellectual Property Fund L.P. 1. Ms. Kordyback previously served as Managing Director of Northwater Capital Management Inc., a corporation formed under the laws of the Province Ontario, which is the manager of Northwater Intellectual Property Fund L.P. 1.
- F2The option is fully vested.