SEC Form 4 · accession 0000899243-16-017952
AstroNova, Inc. · ALOT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen M Petrarca
Officer — Vice President
Period of report
Apr 8, 2016
Accepted (ET)
Apr 12, 2016 · 10:12 am 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 8, 2016 | M | 900 | $0.00 | A | 12,138 | D | |
| Common Stock | Apr 8, 2016 | F | 292 | $13.48 | D | 11,846 | D | |
| Common Stock | holding | — | — | — | 3,571 | 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 8, 2016 | M | 900 | D | — | — | Common Stock | 900 | 1,800 | D |
| Restricted Stock UnitF4,F1,F3 | — | Apr 8, 2016 | J | 1,800 | D | — | — | Common Stock | 1,800 | 0 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of ALOT common stock.
- F2The restricted stock units vested on April 8, 2016.
- F3The restricted stock units were forfeited by the reporting person pursuant to the terms of the award granted on April 3, 2013.
- F4Represents the forfeiture of restricted stock units granted to the reporting person on April 3, 2013 that were eligible to vest based on certain financial performance objectives. Upon grant, the target vesting amount was reported in Table II of Form 4. On April 8, 2016, the Issuer determined that, based on the Issuer's performance over the applicable performance period, 900 restricted stock units would vest and 1,800 restricted stock units would be forfeited.