SEC Form 4 · accession 0001553350-18-000065
ASPEN GROUP, INC. · ASPU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Mathews
Officer — Chief Executive Officer · Director
Period of report
Jan 19, 2018
Accepted (ET)
Jan 22, 2018 · 4:08 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001487198
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 19, 2018 | A | 1,934 | $2.28 | A | 505,610 | D | |
| Common Stock | holding | — | — | — | 8,334 | I | Held in Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F1,F2 | $2.28 | Jan 19, 2018 | M | 1,934 | D | Feb 13, 2013 | Feb 13, 2018 | Common Stock | 1,934 | 0 | D |
Explanation of responses
- F1The stock options were exercised prior to their expiration date. The exercise of the stock options were exempt under Rule 16b-6.
- F2Not applicable.