SEC Form 4 · accession 0000914190-18-000517
ARTS WAY MANUFACTURING CO INC · ARTW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marc H McConnell
Director
Period of report
Nov 30, 2018
Accepted (ET)
Dec 4, 2018 · 5:03 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000007623
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Nov 30, 2018 | A | 1,000 | $0.00 | A | 50,000 | D | |
| Common Stock | holding | — | — | — | 5,000 | I | By IRA #1 | |
| Common Stock | holding | — | — | — | 580 | I | By IRA #2 | |
| Common Stock | holding | — | — | — | 4,250 | I | By spouse | |
| Common Stock | holding | — | — | — | 5,000 | I | By child #1 | |
| Common Stock | holding | — | — | — | 5,000 | I | By child #2 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $8.66 | holding | — | — | — | Apr 28, 2011 | Apr 28, 2021 | Common Stock | 2,000 | 2,000 | D |
| Stock Option (Right to Buy) | $6.75 | holding | — | — | — | Apr 26, 2012 | Apr 26, 2022 | Common Stock | 2,000 | 2,000 | D |
| Stock Option (Right to Buy) | $6.40 | holding | — | — | — | Apr 25, 2013 | Apr 25, 2023 | Common Stock | 2,000 | 2,000 | D |
| Stock Option (Right to Buy) | $6.15 | holding | — | — | — | Apr 29, 2014 | Apr 29, 2024 | Common Stock | 2,000 | 2,000 | D |
| Stock Option (Right to Buy) | $4.70 | holding | — | — | — | Apr 22, 2015 | Apr 22, 2025 | Common Stock | 2,000 | 2,000 | D |
Explanation of responses
- F1Represents fully-vested restricted stock granted pursuant to the director compensation plan.
- F2Includes (i) 3,000 shares of restricted stock for which the risks of forfeiture lapse on 1/29/19; (ii) 8,000 shares of restricted stock for which the risks of forfeiture lapse in 4,000 share increments on each of 1/27/19 and 1/27/20; and (iii) 12,000 shares of restricted stock for which the risks of forfeiture lapse in 4,000 share increments on each of 2/5/19, 2/5/20 and 2/5/21.