SEC Form 4 · accession 0000903937-15-000003
SPIRE Corp · SPIR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger G Little
Director · 10% Owner
Period of report
Aug 20, 2015
Accepted (ET)
Aug 24, 2015 · 7:36 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000731657
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.01 par valueF1 | holding | — | — | — | 2,983,446 | D | ||
| Common Stock, $0.01 par value | holding | — | — | — | 18,054 | I | Held by 401(k) Plan | |
| Common Stock, $0.01 par value | holding | — | — | — | 4,827 | I | Held by 401(k) Plan by spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy) | $0.14 | Aug 20, 2015 | A | 2,000 | A | Aug 20, 2015 | Aug 20, 2025 | Common Stock | 2,000 | 2,000 | D |
Explanation of responses
- F1Include 2,109,305 shares of common stock in the Roger G. Little Family Trust of which Mr. Little is the primary beneficiary.