SEC Form 4 · accession 0001235802-15-000172
MOCON INC · MOCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tom C Thomas
Director
Period of report
Dec 22, 2015
Accepted (ET)
Dec 22, 2015 · 5:55 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000067279
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 22, 2015 | M | 3,500 | $8.905 | A | 13,354 | D | |
| Common StockF1 | Dec 22, 2015 | F | 2,149 | $14.50 | D | 11,205 | D | |
| Common StockF1 | Dec 22, 2015 | M | 2,000 | $8.575 | A | 13,205 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Statutory Stock Option (right to buy)F2 | $8.905 | Dec 22, 2015 | M | 3,500 | D | — | Dec 27, 2015 | Common Stock | 3,500 | 0 | D |
| Non-Statutory Stock Option (right to buy)F2 | $8.575 | Dec 22, 2015 | M | 2,000 | D | — | Dec 30, 2015 | Common Stock | 2,000 | 0 | D |
Explanation of responses
- F1Includes 203.663 shares subject to the Direct Stock Purchase Plan.
- F2This option is fully vested.