SEC Form 4 · accession 0001638599-18-000428
URANIUM ENERGY CORP · UEC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Pat Obara
Officer — CHIEF FINANCIAL OFFICER
Period of report
Apr 5, 2018
Accepted (ET)
Apr 6, 2018 · 8:17 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001334933
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON STOCKF1 | Apr 5, 2018 | M | 75,000 | $0.45 | A | 356,038 | D | |
| COMMON STOCKF1 | Apr 5, 2018 | F | 23,937 | $1.41 | D | 332,101 | D | |
| COMMON STOCK | Apr 5, 2018 | S | 4,002 | $1.36 | D | 328,099 | D | |
| COMMON STOCK | Apr 5, 2018 | S | 1,900 | $1.365 | D | 326,199 | D | |
| COMMON STOCK | Apr 5, 2018 | S | 7,136 | $1.37 | D | 319,063 | D | |
| COMMON STOCK | Apr 5, 2018 | S | 3,000 | $1.41 | D | 316,063 | D | |
| COMMON STOCK | Apr 6, 2018 | S | 3,000 | $1.41 | D | 313,063 | D | |
| COMMON STOCK | Apr 6, 2018 | S | 3,000 | $1.40 | D | 310,063 | D | |
| COMMON STOCK | Apr 6, 2018 | S | 3,500 | $1.40 | D | 306,563 | D | |
| COMMON STOCK | Apr 6, 2018 | S | 3,750 | $1.42 | D | 302,813 | D | |
| COMMON STOCK | Apr 6, 2018 | S | 20,000 | $1.20 | D | 282,813 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OPTIONSF2 | $0.45 | Apr 5, 2018 | M | 75,000 | D | Apr 7, 2008 | Apr 7, 2018 | COMMON STOCK | 75,000 | 568,000 | D |
Explanation of responses
- F1The Reporting Person exercised options previously granted to him under the Company stock incentive plan, electing to pay the exercise price pursuant to the deemed net-stock exercise provision of such plan. As such, the Issuer withheld 23,937 shares at a fair market value of $1.41 per share being equal to the exercise price, such that the Reporting Person was issued 51,063 shares.
- F2Granted pursuant to and in accordance with the Company stock incentive plan.