SEC Form 4 · accession 0001213900-16-017224
SURGE COMPONENTS INC · SPRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ira Levy
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Sep 29, 2016
Accepted (ET)
Oct 3, 2016 · 6:12 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000747540
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Sep 29, 2016 | M | 50,000 | $0.82 | A | 1,107,799 | D | |
| Common Stock | Sep 29, 2016 | M | 62,500 | $0.80 | A | 1,170,299 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option | $0.82 | Sep 29, 2016 | M | 50,000 | A | Nov 27, 2013 | Nov 27, 2018 | Common Stock | 50,000 | 0 | D |
| Stock Option | $0.80 | Sep 29, 2016 | M | 62,500 | A | Apr 10, 2014 | Apr 10, 2019 | Common Stock | 62,500 | 0 | D |