SEC Form 3 · accession 0001171843-18-007801
JOINT Corp · JYNT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jake Singleton
Officer — Chief Financial Officer
Period of report
Nov 6, 2018
Accepted (ET)
Nov 8, 2018 · 5:00 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001612630
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 15,923 | 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 | $4.10 | holding | — | — | — | — | Mar 14, 2026 | Common stock | 10,000 | — | D |
| Stock Option (right to buy)F3 | $2.24 | holding | — | — | — | — | Aug 9, 2026 | Common stock | 20,000 | — | D |
| Stock Option (right to buy)F4 | $3.88 | holding | — | — | — | — | May 9, 2027 | Common stock | 10,473 | — | D |
| Stock Option (right to buy)F5 | $5.51 | holding | — | — | — | — | Nov 10, 2027 | Common stock | 10,000 | — | D |
| Stock Option (right to buy)F6 | $8.25 | holding | — | — | — | — | Aug 7, 2028 | Common stock | 3,242 | — | D |
Explanation of responses
- F111,455 of these shares are unvested restricted shares, 1000 of which will vest on 7/15/19, 2,613 of which will vest on 8/07/19, and 2,614 of which will vest on each of 8/07/20, 8/07/21 and 8/07/22.
- F25,000 of these options are fully vested, and 2,500 will vest on each of 3/14/19 and 3/14/20.
- F310,000 of these options are fully vested, and 5,000 will vest on each of 8/09/19 and 8/09/20.
- F4All of these options are fully vested.
- F52,500 options will vest on each of 11/10/18, 11/10/19, 11/10/20 and 11/10/21.
- F6811 of these options will vest on each of 8/07/19 and 8/07/20, and 810 of these options will vest on each of 8/07/21 and 8/07/22.