SEC Form 4 · accession 0001249954-17-000001
GENCOR INDUSTRIES INC · GENC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
E J Elliott
Officer — Chairman · Director · 10% Owner
Period of report
Dec 26, 2017
Accepted (ET)
Dec 27, 2017 · 10:47 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000064472
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 26, 2017 | M | 15,000 | $5.126 | A | 15,000 | D | |
| Class B | Dec 26, 2017 | M | 15,000 | $5.126 | A | 15,000 | D | |
| Common Stock | holding | — | — | — | 73,467 | I | Elliott Foundation Inc | |
| Common Stock | holding | — | — | — | 1,518,828 | I | Family Limited Partnership | |
| Class B | holding | — | — | — | 2,022,477 | I | Family Limited Partnership |
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 | $5.126 | Dec 26, 2017 | M | 30,000 | D | — | Oct 1, 2021 | Common Stock | 30,000 | 120,000 | D |
Explanation of responses
- F1Stock options are fully vested and expire on 10/1/2021.