SEC Form 4 · accession 0001140361-16-071559
LSI INDUSTRIES INC · LYTS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark A Serrianne
Director
Period of report
Jul 1, 2016
Accepted (ET)
Jul 5, 2016 · 4:26 pm EDT
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 Shares | Jul 1, 2016 | A | 1,175 | $11.06 | A | 28,445 | 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 BuyF2,F1 | $17.60 | holding | — | — | — | — | Aug 24, 2016 | Common Shares | 2,500 | 2,500 | D |
| Option to BuyF2,F1 | $17.55 | holding | — | — | — | — | Nov 14, 2016 | Common Shares | 1,500 | 1,500 | D |
| Option to BuyF2,F1 | $19.76 | holding | — | — | — | — | Aug 24, 2017 | Common Shares | 2,500 | 2,500 | D |
| Option to BuyF2,F1 | $19.68 | holding | — | — | — | — | Nov 15, 2017 | Common Shares | 1,500 | 1,500 | D |
| Option to BuyF2,F1 | $8.98 | holding | — | — | — | — | Aug 22, 2018 | Common Shares | 2,500 | 2,500 | D |
| Option to BuyF2,F1 | $4.60 | holding | — | — | — | — | Nov 20, 2018 | Common Shares | 1,500 | 1,500 | D |
| Option to BuyF2,F1 | $8.40 | holding | — | — | — | — | Aug 21, 2019 | Common Shares | 3,500 | 3,500 | D |
| Option to BuyF2,F1 | $7.20 | holding | — | — | — | — | Nov 19, 2019 | Common Shares | 1,500 | 1,500 | D |
| Option to BuyF2,F1 | $5.21 | holding | — | — | — | — | Aug 19, 2020 | Common Shares | 2,500 | 2,500 | D |
| Option to BuyF2,F1 | $8.92 | holding | — | — | — | — | Nov 28, 2020 | Common Shares | 1,500 | 1,500 | D |
| Option to BuyF2,F1 | $6.68 | holding | — | — | — | — | Nov 17, 2021 | Common Shares | 1,500 | 1,500 | D |
| Option to BuyF2,F1 | $6.58 | holding | — | — | — | — | Aug 15, 2022 | Common Shares | 2,500 | 2,500 | D |
| Option to BuyF2,F1 | $6.28 | holding | — | — | — | — | Nov 15, 2022 | Common Shares | 1,500 | 1,500 | D |
Explanation of responses
- F1Non-Qualified stock options granted pursuant to the Company's 2003 Equity Compensation Plan. The options vest at a rate of 25% at the conclusion of each 90 day period following the grant date.
- F2These holdings have been previously reported on Form 4.