SEC Form 4 · accession 0001213900-18-016696
SURGE COMPONENTS INC · SPRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan Plafker
Director
Period of report
Oct 18, 2018
Accepted (ET)
Nov 29, 2018 · 1:45 pm EST
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 | Oct 18, 2018 | M | 25,000 | $0.82 | A | 25,000 | D | |
| Common Stock | Oct 18, 2018 | F | 16,803 | $1.22 | D | 8,197 | 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 | Oct 18, 2018 | M | 25,000 | D | Nov 27, 2013 | Nov 27, 2018 | Common Stock | 25,000 | 0 | D |
Explanation of responses
- F1Reflects the cashless exercise of a stock option granted pursuant to Rule 16b-3. The Reporting Person received 8,197 shares of the Issuer's common stock upon such exercise.