SEC Form 3 · accession 0001683168-16-000683
Financial Gravity Companies, Inc. · FGCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James F. Reggio
Officer — CTO and Chief Mktg Officer
Period of report
Sep 30, 2016
Accepted (ET)
Nov 16, 2016 · 1:05 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001377167
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 98,100 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options | $0.33 | holding | — | — | — | Sep 30, 2016 | Aug 29, 2025 | Common Stock | 180,000 | — | D |
| Options | $1.00 | holding | — | — | — | Sep 30, 2016 | Jan 8, 2026 | Common Stock | 500,000 | — | D |
Remarks
Options had grant dates of 9/1/15 as to 180,000 shares, and 1/11/16 as to 500,000 shares, with two year step vesting periods in which 25% of each option grant vest each 6 months. The options all became fully vested upon the 9/30/16 change in control of the Issuer.