SEC Form 4 · accession 0001568279-18-000001
SONO TEK CORP · SOTK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robb William Engle
Officer — Vice President
Period of report
Jun 29, 2018
Accepted (ET)
Jul 3, 2018 · 1:29 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 29, 2018 | M | 10,000 | $0.61 | A | 15,896 | D | |
| Sono-Tek Corp Common StockF2 | Jun 29, 2018 | F | 3,211 | $1.90 | D | 12,685 | D | |
| Sono-Tek Corp Common StockF3 | Jun 29, 2018 | M | 11,000 | $0.48 | A | 23,685 | D | |
| Sono-Tek Corp Common StockF4 | Jun 29, 2018 | F | 2,779 | $1.90 | D | 20,906 | D | |
| Sono-Tek Corp Common StockF5 | Jun 29, 2018 | M | 12,000 | $1.05 | A | 32,906 | D | |
| Sono-Tek Common StockF6 | Jun 29, 2018 | F | 6,632 | $1.90 | D | 26,274 | D | |
| Sono-Tek Corp Common StockF7 | Jun 29, 2018 | M | 14,400 | $1.19 | A | 40,674 | D | |
| Sono-Tek Corp Common StockF8 | Jun 29, 2018 | F | 9,019 | $1.90 | D | 31,655 | D | |
| Sono-Tek Corp Common StockF9 | Jun 29, 2018 | M | 30,000 | $0.91 | A | 61,655 | D | |
| Sono-Tek Corp Common StockF10 | Jun 29, 2018 | F | 14,368 | $1.90 | D | 47,287 | 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 | $0.61 | Jun 29, 2018 | M | 10,000 | D | Nov 8, 2015 | Nov 8, 2022 | Sono-Tek Corp Common Stock | 10,000 | 137,400 | D |
| Sono-Tek Corp OptionsF3 | $0.48 | Jun 29, 2018 | M | 11,000 | D | Jan 24, 2016 | Jan 24, 2023 | Sono-Tek Corp Common Stock | 11,000 | 126,400 | D |
| Sono-Tek OptionsF5 | $1.05 | Jun 29, 2018 | M | 12,000 | D | Feb 20, 2015 | Feb 20, 2024 | Sono-Tek Corp Common Stock | 12,000 | 114,400 | D |
| Sono-Tek OptionsF7 | $1.19 | Jun 28, 2018 | M | 14,400 | D | Feb 19, 2016 | Feb 19, 2025 | Sono-Tek Corp Common Stock | 14,400 | 100,000 | D |
| Sono-Tek OptionsF9,F11 | $0.91 | Jun 29, 2018 | M | 30,000 | D | Jul 21, 2016 | Jul 20, 2026 | Sono-Tek Common Stock | 30,000 | 70,000 | D |
Explanation of responses
- F1Reporting person exercised 10000 options.
- F10Reporting person surrendered 14368 shares of Sono-Tek Corp common stock as payment for the exercise of vested options.
- F11Subject to vesting schedule.
- F2Reporting person surrendered 3211 shares of Sono-Tek Corp common stock as payment for the exercise of vested options.
- F3Reporting person exercised 11000 options.
- F4Reporting person surrendered 2779 shares of Sono-Tek Corp Common stock as payment for the exercise of vested options.
- F5Reporting person exercised 12000 options.
- F6Reporting person surrendered 6632 shares of Sono-Tek Corp Common stock as payment for the exercise of vested options.
- F7Reporting person exercised 14400 options.
- F8Reporting person surrendered 9019 shares of Sono-Tek Corp common stock as payment for the exercise of vested options.
- F9Reporting person exercised 30000 options.