SEC Form 4 · accession 0000899243-16-020555
AstroNova, Inc. · ALOT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
April Ondis
Director
Period of report
May 18, 2016
Accepted (ET)
May 20, 2016 · 2:15 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 StockF1 | May 18, 2016 | A | 1,377 | $0.00 | A | 127,383 | D | |
| Common Stock | holding | — | — | — | 783 | I | Held in Employee Stock Ownership Plan | |
| Common StockF2 | holding | — | — | — | 826,305 | I | Shares Held by the Albert W. Ondis Declaration of Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Purchase)F3 | $14.52 | May 18, 2016 | A | 5,000 | A | May 18, 2016 | May 18, 2026 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1Restricted stock award made to the reporting person which vests on the earlier of (i) the date that is immediately prior to the occurrence of the 2017 annual meeting of the shareholders or special meeting in lieu thereof and (ii) the one year anniversary of the grant date.
- F2The reporting person is a beneficiary of the Albert W. Ondis Declaration of Trust and may be deemed to have a pecuniary interest therein. The reporting person disclaims ownership of the shares in the trust, except to the extent of her pecuniary interest.
- F3Date indicated is date of grant. Option vests in its entirety immediately prior to the occurrence of the 2017 annual meeting of the shareholders or special meeting in lieu there of.