SEC Form 4 · accession 0001235802-17-000075
MOCON INC · MOCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Elissa Jeanette Lindsoe
Officer — Chief Financial Officer
Period of report
Jun 7, 2017
Accepted (ET)
Jun 8, 2017 · 4:47 pm EDT
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 Stock | Jun 7, 2017 | M | 5,000 | $14.95 | A | 6,500 | D | |
| Common Stock | Jun 7, 2017 | M | 5,747 | $17.40 | A | 12,247 | D | |
| Common Stock | Jun 7, 2017 | M | 5,000 | $13.26 | A | 17,247 | D | |
| Common Stock | Jun 7, 2017 | M | 2,343 | $14.38 | A | 19,590 | D | |
| Common Stock | Jun 7, 2017 | F | 9,158 | $30.00 | D | 10,432 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Employee Stock Option (right to buy)F1 | $14.95 | Jun 7, 2017 | M | 5,000 | D | — | Oct 6, 2021 | Common Stock | 5,000 | 0 | D |
| Incentive Employee Stock Option (right to buy)F1 | $17.40 | Jun 7, 2017 | M | 5,747 | D | — | Dec 21, 2021 | Common Stock | 5,747 | 0 | D |
| Incentive Employee Stock Option (right to buy)F1 | $13.26 | Jun 7, 2017 | M | 5,000 | D | — | Aug 18, 2025 | Common Stock | 5,000 | 0 | D |
| Incentive Employee Stock Option (right to buy)F1 | $14.38 | Jun 7, 2017 | M | 2,343 | D | — | Dec 29, 2022 | Common Stock | 2,343 | 0 | D |
Explanation of responses
- F1This option has fully vested.