SEC Form 4 · accession 0001550851-18-000001
GENCOR INDUSTRIES INC · GENC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric E Mellen
Officer — Chief Financial Officer
Period of report
Mar 7, 2018
Accepted (ET)
Mar 9, 2018 · 4:39 pm 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 | Mar 7, 2018 | S | 5,000 | $16.79 | D | 5,500 | D | |
| Common Stock | Mar 7, 2018 | S | 4,000 | $16.76 | D | 1,500 | D | |
| Common Stock | Mar 8, 2018 | S | 500 | $17.25 | D | 1,000 | D | |
| Common Stock | Mar 9, 2018 | M | 7,500 | $4.77 | A | 8,500 | D | |
| Common Stock | Mar 9, 2018 | G | 1,000 | $17.20 | D | 7,500 | D |
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 | $4.77 | Mar 9, 2018 | M | 7,500 | D | — | Oct 1, 2021 | Common Stock | 7,500 | 0 | D |
Explanation of responses
- F1The options exercised were granted on May 28, 2012 and vested in equal annual installments: May 28, 2013, May 28, 2014, and May 28, 2015.