SEC Form 4 · accession 0001140361-18-034819
LSI INDUSTRIES INC · LYTS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffery S. Bastian
Officer — Chief Accounting Officer
Period of report
Jul 31, 2018
Accepted (ET)
Aug 1, 2018 · 4:57 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 SharesF1 | Jul 31, 2018 | A | 227 | $4.89 | A | 4,194 | D | |
| Common Shares | holding | — | — | — | 9,020 | 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,F3 | $9.15 | holding | — | — | — | — | Jun 12, 2027 | Common Shares | 5,000 | 5,000 | D |
| Option to BuyF2,F3 | $8.98 | holding | — | — | — | — | Aug 22, 2018 | Common Shares | 903 | 903 | D |
| Option to BuyF2,F3 | $8.40 | holding | — | — | — | — | Aug 21, 2019 | Common Shares | 15,000 | 15,000 | D |
| Option to BuyF2,F3 | $6.58 | holding | — | — | — | — | Aug 16, 2022 | Common Shares | 11,250 | 11,250 | D |
| Option to BuyF2,F3 | $7.20 | holding | — | — | — | — | Aug 23, 2023 | Common Shares | 17,000 | 17,000 | D |
| Option to BuyF2,F3 | $6.81 | holding | — | — | — | — | Nov 20, 2024 | Common Shares | 20,000 | 20,000 | D |
| Option to BuyF2,F3 | $9.39 | holding | — | — | — | — | Jul 1, 2025 | Common Shares | 15,000 | 15,000 | D |
| Option to BuyF2,F3 | $11.06 | holding | — | — | — | — | Jul 1, 2026 | Common Shares | 10,000 | 10,000 | D |
| Option to BuyF2,F4 | $5.92 | holding | — | — | — | — | Aug 17, 2027 | Common Shares | 18,000 | 18,000 | D |
Explanation of responses
- F1Common Shares held in the LSI Industries Inc. Non-Qualified Deferred Compensation Plan.
- F2These holdings have been previously reported on Form 4.
- F3The option vests at a rate of 25% per year beginning on the one year anniversary of the date of grant.
- F4The options vest ratably over a three year time period.