SEC Form 4 · accession 0001079810-19-000002
CVD EQUIPMENT CORP · CVV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Raymond A Nielsen
Director
Period of report
Jan 15, 2019
Accepted (ET)
Feb 26, 2019 · 10:27 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000766792
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 15, 2019 | A | 8,400 | $3.99 | A | 15,200 | 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 purchase common stock | $5.00 | Jan 15, 2019 | A | 15,000 | A | Jan 15, 2020 | Jan 15, 2030 | Common Stock | 15,000 | 15,000 | D |
Explanation of responses
- F1Common stock issued pursuant to the Corporation's 2016 Share Incentive Plan, vests as to 2,100 shares on each of March 31, 2019, June 30, 2019, September 30, 2019 and December 31, 2019 or as of the 2019 annual meeting of shareholders but in no event earlier than November 15, 2019, provided that such individual is still serving as a Director as of the vesting date.