SEC Form 4 · accession 0001140361-17-032829
LSI INDUSTRIES INC · LYTS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Howard E. Japlon
Officer — Exec.VP, HR & GC, Secretary
Period of report
Aug 17, 2017
Accepted (ET)
Aug 21, 2017 · 3:12 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 | Aug 17, 2017 | A | 8,500 | $5.92 | A | 8,500 | 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 | $5.92 | Aug 17, 2017 | A | 38,000 | A | — | Aug 17, 2027 | Common Shares | 38,000 | 38,000 | D |
| Option to BuyF1,F2 | $9.48 | holding | — | — | — | — | Mar 21, 2027 | Common Shares | 60,000 | 60,000 | D |
Explanation of responses
- F1These holdings have been previously reported on Form 3.
- F2The options vest at a rate of 25% per year beginning on the first anniversary of the grant date.
- F3The options vest ratably over a three year time period.