SEC Form 4 · accession 0001144204-18-002397
HURCO COMPANIES INC · HURC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sonja K McClelland
Officer — Chief Financial Officer
Period of report
Jan 12, 2018
Accepted (ET)
Jan 17, 2018 · 1:47 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000315374
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 12, 2018 | M | 2,700 | $14.82 | A | 25,399 | D | |
| Common StockF1 | Jan 12, 2018 | S | 2,700 | $47.9367 | D | 22,699 | D | |
| Common Stock | Jan 16, 2018 | M | 300 | $14.82 | A | 22,999 | D | |
| Common Stock | Jan 16, 2018 | M | 2,000 | $18.13 | A | 24,999 | D | |
| Common StockF2 | Jan 16, 2018 | S | 550 | $47.3495 | D | 24,449 | D | |
| Common StockF3 | Jan 16, 2018 | S | 1,750 | $48.329 | D | 22,699 | 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)F4 | $14.82 | Jan 12, 2018 | M | 2,700 | D | — | Dec 18, 2019 | Common Stock | 2,700 | 300 | D |
| Stock Option (right to buy)F4 | $14.82 | Jan 16, 2018 | M | 300 | D | — | Dec 18, 2019 | Common Stock | 300 | 0 | D |
| Stock Option (right to buy)F5 | $18.13 | Jan 16, 2018 | M | 2,000 | D | — | May 13, 2020 | Common Stock | 2,000 | 0 | D |
Explanation of responses
- F1Represents the sale of 2,700 shares in multiple transactions, ranging in price from $47.75 to $48.0619 per share, resulting in a weighted average sale price of $47.9367. The reporting person will provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each price within the range.
- F2Represents the sale of 550 shares in multiple transactions, ranging in price from $47.00 to $47.95 per share, resulting in a weighted average sale price of $47.3495. The reporting person will provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each price within the range.
- F3Represents the sale of 1,750 shares in multiple transactions, ranging in price from $48.05 to $48.95 per share, resulting in a weighted average sale price of $48.329. The reporting person will provide, upon request by the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each price within the range.
- F4Options vested in thirds on each of December 18, 2010, December 18, 2011 and December 18, 2012.
- F5Options vested in thirds on each of May 13, 2011, May 13, 2012 and May 13, 2013.