SEC Form 4 · accession 0001262184-18-000001
SONO TEK CORP · SOTK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
R Stephen Harshbarger
Officer — President · Director
Period of report
Jul 12, 2018
Accepted (ET)
Jul 16, 2018 · 2:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000806172
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Sono-Tek Corp Common StockF1 | Jul 12, 2018 | M | 36,000 | $1.05 | A | 104,556 | D | |
| Sono-Tek Corp Common StockF2 | Jul 12, 2018 | F | 16,875 | $2.24 | D | 87,681 | D | |
| Sono-Tek Corp Common StockF3 | Jul 12, 2018 | M | 99,000 | $0.91 | A | 186,681 | D | |
| Sono-Tek Corp Common StockF4 | Jul 12, 2018 | F | 40,219 | $2.24 | D | 146,462 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Sono-Tek OptionsF1 | $1.05 | Jul 12, 2018 | M | 36,000 | D | Feb 20, 2015 | Feb 20, 2024 | Sono-Tek Common Stock | 36,000 | 353,200 | D |
| Sono-Tek Corp OptionsF3 | $0.91 | Jul 12, 2018 | M | 99,000 | D | Mar 15, 2017 | Jul 20, 2026 | Sono-Tek Corp Common Stock | 99,000 | 254,200 | D |
Explanation of responses
- F1Reporting person exercised 36000 vested options.
- F2Reporting person surrendered 16875 shares of Sono-Tek corp common stock as payment for the exercise of options.
- F3Reporting person exercised 99000 vested options.
- F4Reporting person surrendered 40219 shares of Sono-Tek Corp common stock as payment for the exercise of options.