SEC Form 4/A · accession 0001140361-16-054570
LSI INDUSTRIES INC · LYTS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Dennis W. Wells
Officer — CEO and President · Director
Period of report
Feb 19, 2016
Accepted (ET)
Feb 23, 2016 · 4:38 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000763532
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1 | Feb 19, 2016 | A | 222 | $11.35 | A | 6,635 | D | |
| Common SharesF2 | holding | — | — | — | 5,185 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to BuyF3 | $5.96 | holding | — | — | — | — | Oct 1, 2024 | Common Shares | 100,000 | 100,000 | D |
| Option to BuyF4,F3 | $6.81 | holding | — | — | — | — | Nov 20, 2024 | Common Shares | 75,000 | 75,000 | D |
| Option to BuyF4,F3 | $6.55 | holding | — | — | — | — | Jan 2, 2025 | Common Shares | 39,923 | 39,923 | D |
| Option to BuyF3 | $9.39 | holding | — | — | — | — | Jul 1, 2025 | Common Shares | 45,000 | 45,000 | D |
Explanation of responses
- F1Common Shares held in the LSI Industries Inc. Non-Qualified Deferred Compensation Plan.
- F2This amendment is being filed to correct the 2/3/16 filing that reported the acquisition of 960 shares in the LSI Industries Inc. Non-Qualified Deferred Compensation Plan when those shares were not acquired pursuant to the plan but were acquired outside of the plan.
- F3The options vest at a rate of 25% per year beginning on the first anniversary of the grant date.
- F4These holdings have been previously reported on Form 4.