SEC Form 4 · accession 0001144204-16-137309
Sino-Global Shipping America, Ltd. · SINO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lei Cao
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Nov 28, 2016
Accepted (ET)
Nov 30, 2016 · 6:50 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001422892
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 28, 2016 | S | 15,000 | $4.25 | D | 1,615,040 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF1 | $7.75 | May 20, 2008 | A | 36,000 | A | — | May 19, 2018 | Common Stock | 36,000 | 36,000 | D |
Explanation of responses
- F1The Options vest at a rate of 20% per year, with 20% vesting initially on May 19, 2009.