SEC Form 4 · accession 0001179110-17-015390
Willdan Group, Inc. · WLDN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Win Westfall
Director
Period of report
Dec 13, 2017
Accepted (ET)
Dec 14, 2017 · 7:35 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001370450
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 13, 2017 | M | 5,000 | $1.80 | A | 26,657 | D | |
| Common StockF1 | Dec 13, 2017 | M | 5,000 | $1.87 | A | 31,657 | D | |
| Common StockF1 | Dec 13, 2017 | M | 5,000 | $2.48 | A | 36,657 | D | |
| Common StockF1 | Dec 13, 2017 | M | 5,000 | $4.01 | A | 41,657 | D | |
| Common StockF1 | Dec 13, 2017 | M | 2,000 | $5.21 | A | 43,657 | 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 | $1.80 | Dec 13, 2017 | M | 5,000 | D | — | Jun 4, 2022 | Common Stock | 5,000 | 0 | D |
| Stock Option (Right to Buy)F3 | $1.87 | Dec 13, 2017 | M | 5,000 | D | — | Jun 8, 2019 | Common Stock | 5,000 | 0 | D |
| Stock Option (Right to Buy)F4 | $2.48 | Dec 13, 2017 | M | 5,000 | D | — | Jun 7, 2020 | Common Stock | 5,000 | 0 | D |
| Stock Option (Right to Buy)F5 | $4.01 | Dec 13, 2017 | M | 5,000 | D | — | Jun 6, 2021 | Common Stock | 5,000 | 0 | D |
| Stock Option (Right to Buy)F6 | $5.21 | Dec 13, 2017 | M | 2,000 | D | — | Jun 10, 2018 | Common Stock | 2,000 | 0 | D |
Explanation of responses
- F1Includes i) 1,474 shares of restricted stock that vest in three substantially equal installments on each June 8, 2018, June 8, 2019 and June 8, 2020, ii) 1,200 shares of restricted stock that vest on June 5, 2018 and iii) 3,056 shares of restricted stock that vest in two substantially equal installments on each of June 9, 2018 and June 9, 2019.
- F2The option became exercisable in two equal installments on each of June 4, 2013 and June 4, 2014.
- F3The option became exercisable in two equal installments on each of June 8, 2010 and June 8, 2011.
- F4The option became exercisable in two equal installments on each of June 7, 2011 and June 7, 2012.
- F5The option became exercisable in two equal installments on each of June 6, 2012 and June 6, 2013.
- F6The option became exercisable in two equal installments on each of June 10, 2009 and June 10, 2010.