SEC Form 4 · accession 0001437749-16-037146
SPARTAN MOTORS INC · SPAR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth Kaczmarek
Director
Period of report
Aug 8, 2016
Accepted (ET)
Aug 11, 2016 · 2:00 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000743238
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 8, 2016 | M | 3,900 | $7.64 | A | 105,124 | D | |
| Common Stock | Aug 8, 2016 | D | 3,315 | $8.99 | D | 101,809 | D | |
| Common StockF1 | Aug 9, 2016 | S | 21,017 | $9.1227 | D | 80,792 | D | |
| Common StockF2 | holding | — | — | — | 5,000 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation Rights | $7.64 | Aug 8, 2016 | M | 3,900 | D | Dec 31, 2007 | Dec 31, 2017 | Common Stock | 3,900 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.07 to $9.19, inclusive. The reporting person undertakes to provide to Spartan Motors, Inc., any security holder of Spartan Motors, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
- F2The reporting person disclaims beneficial ownership of the listed shares except to the extent of his pecuniary interest therein.