SEC Form 4 · accession 0001262184-18-000002
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
Nov 15, 2018
Accepted (ET)
Nov 19, 2018 · 7:26 pm EST
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 | Nov 15, 2018 | M | 43,200 | $1.19 | A | 189,662 | D | |
| Sono-Tek Corp Common StockF2 | Nov 15, 2018 | F | 17,136 | $3.00 | D | 172,526 | 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 Corp OptionsF1 | $1.19 | Nov 15, 2018 | M | 43,200 | D | Feb 16, 2016 | Feb 19, 2025 | Sono-Tek Corp Common Stock | 43,200 | 211,000 | D |
Explanation of responses
- F1Reporting person exercised 43,200 options.
- F2Reporting person surrendered 17,136 shares of Sono-Tek Corp common stock as payment for the exercise of options.