SEC Form 4 · accession 0001562180-18-004716
Akoustis Technologies, Inc. · AKTS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey B. Shealy
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Nov 23, 2018
Accepted (ET)
Nov 27, 2018 · 6:51 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001584754
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 27, 2018 | A | 20,000 | $0.00 | A | 3,218,562 | D |
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 | $4.76 | Nov 23, 2018 | A | 5,000 | A | — | Nov 22, 2025 | Common Stock | 5,000 | 5,000 | I |
| Stock Options (Right to buy)F2 | $5.00 | Nov 27, 2018 | A | 40,000 | A | — | Nov 26, 2025 | Common Stock | 40,000 | 40,000 | D |
Explanation of responses
- F1The Stock Options vest in four equal annual installments beginning on November 23, 2019.
- F2The Stock Options vest in four equal annual installments beginning on November 27, 2019.