SEC Form 4 · accession 0001331599-15-000001
KEWAUNEE SCIENTIFIC CORP /DE/ · KEQU
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Keith D Smith
Officer — VP - Manufacturing
Period of report
Sep 28, 2015
Accepted (ET)
Sep 30, 2015 · 2:09 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000055529
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 28, 2015 | M | 1,250 | $10.64 | A | 10,414 | D | |
| Common StockF1 | Sep 28, 2015 | M | 2,000 | $8.59 | A | 12,414 | D | |
| Common StockF1 | Sep 28, 2015 | M | 2,000 | $15.85 | A | 14,414 | D | |
| Common StockF1 | Sep 28, 2015 | M | 2,000 | $11.78 | A | 16,414 | D | |
| Common Stock | Sep 28, 2015 | F | 5,269 | $16.27 | D | 11,145 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to BuyF2 | $10.64 | Sep 28, 2015 | M | 1,250 | D | Aug 25, 2014 | Aug 25, 2020 | Common Stock | 1,250 | 0 | D |
| Option to BuyF2 | $8.59 | Sep 28, 2015 | M | 2,000 | D | Aug 24, 2015 | Aug 24, 2021 | Common Stock | 2,000 | 0 | D |
| Option to BuyF2 | $11.78 | Sep 28, 2015 | M | 2,000 | D | Aug 22, 2015 | Aug 22, 2022 | Common Stock | 2,000 | 1,000 | D |
| Option to BuyF2 | $15.85 | Sep 28, 2015 | M | 2,000 | D | Aug 28, 2015 | Aug 28, 2023 | Common Stock | 2,000 | 2,000 | D |
Explanation of responses
- F1Consideration for the exercise of the underlying option to buy was paid through a "net exercise" by directing the company to retain as payment for the total exercise cost a sufficient number of shares of Common Stock that would have been otherwise received upon this exercise as reported below on this Form 4 report.
- F2Employee stock option granted under Employee Stock Option plan under Rule 16b-3.