SEC Form 4 · accession 0001249991-16-000003
GENCOR INDUSTRIES INC · GENC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Randolph Fields
Director
Period of report
Aug 22, 2016
Accepted (ET)
Aug 24, 2016 · 12:33 pm EDT
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 | Aug 22, 2016 | M | 7,500 | $6.21 | A | 7,500 | I | Randolph H. Fields Family Trust |
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)F1 | $5.126 | Oct 1, 2011 | A | 7,500 | A | — | Oct 1, 2021 | Common Stock | 7,500 | 7,500 | D |
| Stock Option (right to buy) | $6.21 | Aug 22, 2016 | M | 7,500 | D | Sep 30, 2008 | Sep 27, 2016 | Common Stock | 7,500 | 0 | D |
Explanation of responses
- F17,500 stock options granted on July 1, 2011 are fully vested and expire on October 1, 2021. Number of stock options granted reflect 3 for 2 stock dividend on August 1, 2016.