SEC Form 4 · accession 0001330694-18-000002
SONO TEK CORP · SOTK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen James Bagley
Officer — CFO
Period of report
Jun 28, 2018
Accepted (ET)
Jul 2, 2018 · 2:33 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 | Jun 28, 2018 | M | 10,000 | $0.91 | A | 22,326 | D | |
| Sono-Tek Common StockF2 | Jun 28, 2018 | F | 5,056 | $1.80 | D | 17,270 | D | |
| Sono-Tek Common StockF1 | Jul 2, 2018 | M | 10,000 | $0.91 | A | 27,270 | D | |
| Sono-Tek Corp Common StockF3 | Jul 2, 2018 | F | 4,789 | $1.90 | D | 22,481 | 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 | $0.91 | Jun 28, 2018 | M | 10,000 | D | Mar 15, 2018 | Jul 20, 2026 | Sono-Tek Corp Common Stock | 10,000 | 80,000 | D |
| Sono-Tek Corp OptionsF1 | $0.91 | Jul 2, 2018 | M | 10,000 | D | Mar 15, 2018 | Jul 20, 2026 | Sono-Tek Corp Common Stock | 10,000 | 70,000 | D |
Explanation of responses
- F1Reporting person exercised 10000 options.
- F2Reporting person surrendered 5056 shares of Sono-Tek Corp Stock as payment for the exercise of vested options.
- F3Reporting person surrendered 4789 shares of Sono-Tek Common stock as payment for the exercise of vested options.