SEC Form 4 · accession 0000899243-16-017657
AstroNova, Inc. · ALOT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric E Pizzuti
Officer — Vice President
Period of report
Apr 3, 2016
Accepted (ET)
Apr 5, 2016 · 5:07 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000008146
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Apr 3, 2016 | M | 1,025 | $0.00 | A | 9,769 | D | |
| Common Stock | Apr 3, 2016 | F | 406 | $13.72 | D | 9,363 | D | |
| Common Stock | holding | — | — | — | 1,688 | I | Held in Employee Stock Ownership Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1,F2 | — | Apr 3, 2016 | M | 1,025 | D | — | — | Common Stock | 1,025 | 3,075 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of ALOT common stock.
- F2The restricted stock units vest as follows: 25% vested on April 3, 2016; 50% vest upon the achievement of certain specified goals relating to cumulative budgeted sales targets for the fiscal years 2014 through 2016; and 25% vest upon the achievement of certain specified goals relating to operating income return on net assets for the fiscal years 2014 through 2016.