SEC Form 3 · accession 0000749660-19-000006
ICAD INC · ICAD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan Go
Officer — Chief Technology Officer
Period of report
Jan 15, 2019
Accepted (ET)
Jan 17, 2019 · 5:25 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000749660
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 | — | — | — | 119,270 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2 | $5.75 | holding | — | — | — | — | Mar 29, 2021 | Common Stock, $0.01 par value | 20,000 | — | D |
| Stock OptionsF2 | $3.15 | holding | — | — | — | — | Nov 10, 2021 | Common Stock, $0.01 par value | 30,000 | — | D |
| Stock OptionsF2 | $2.90 | holding | — | — | — | — | Feb 7, 2022 | Common Stock, $0.01 par value | 20,000 | — | D |
| Stock OptionsF2 | $2.27 | holding | — | — | — | — | Sep 25, 2022 | Common Stock, $0.01 par value | 45,000 | — | D |
| Stock OptionsF2 | $6.68 | holding | — | — | — | — | Jun 19, 2024 | Common Stock, $0.01 par value | 10,000 | — | D |
| Stock OptionsF2 | $9.00 | holding | — | — | — | — | Feb 5, 2025 | Common Stock, $0.01 par value | 12,500 | — | D |
| Stock OptionsF3 | $4.37 | holding | — | — | — | — | Jan 15, 2029 | Common Stock, $0.01 par value | 25,000 | — | D |
Explanation of responses
- F1Includes (i) 16,667 shares vested under a Restricted Stock Award of 25,000 shares granted on August 15, 2016 and (ii) 10,000 shares under a Restricted Stock Award of 30,000 shares granted on September 18, 2017. Does not include 28,333 shares that remain subject to vesting.
- F2Currently exercisable in full.
- F3Vesting in three equal installments on January 15, 2020, January 15, 2021 and January 15, 2022.