SEC Form 4 · accession 0001140361-15-002088
AstroNova, Inc. · ALOT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
of Albert W. Ondis Estate
10% Owner
April Ondis
10% Owner
Alexis Ondis
10% Owner
Albert W. Ondis III
10% Owner
Period of report
Jan 15, 2015
Accepted (ET)
Jan 20, 2015 · 10:14 am EST
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 StockF2 | Jan 15, 2015 | M | 1,562 | $6.768 | A | 126,037 | D | |
| Common StockF2 | Jan 15, 2015 | F | 767 | $13.79 | D | 125,270 | D | |
| Common StockF3 | holding | — | — | — | 882,305 | I | Held by the Estate of Albert W. Ondis of which April Ondis is a co-executor | |
| Common StockF4 | holding | — | — | — | 3,858 | I | Held under the issuer's Employee Stock Ownership Plan for the account of Albert W. Ondis | |
| Common StockF5 | holding | — | — | — | 670 | I | Held under the issuer's Employee Stock Ownership Plan for the account of April Ondis | |
| Common StockF6 | holding | — | — | — | 326 | I | Held under the issuer's Employee Stock Ownership Plan for the account of Albert W. Ondis, III | |
| Common StockF7 | holding | — | — | — | 1,658 | I | Held in trust for a child of Albert W. Ondis, III | |
| Common StockF8 | holding | — | — | — | 122,097 | D | ||
| Common StockF9 | holding | — | — | — | 5,614 | I | Held in trust for a child of Alexis Ondis | |
| Common StockF10 | holding | — | — | — | 122,096 | D |
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)F2 | $6.768 | Jan 15, 2015 | M | 1,562 | D | Mar 21, 2006 | Mar 21, 2015 | Common Stock | 1,562 | 0 | D |
Explanation of responses
- F1April Ondis delivered 767 shares of the issuer's common stock to pay the exercise price of the options as reported herein.
- F10These shares are owned directly by Alexis Ondis.
- F2These shares are owned directly by April Ondis.
- F3These shares are owned directly by the Estate of Albert W. Ondis and indirectly by Albert W. Ondis, III, Alexis Ondis and April Ondis, as co-executors of the Estate of Albert W. Ondis.
- F4These shares are owned indirectly by the Estate of Albert W. Ondis and each of Albert W. Ondis, III, Alexis Ondis and April Ondis, as co-executors of the Estate of Albert W. Ondis.
- F5These shares are owned indirectly by April Ondis.
- F6These shares are owned indirectly by Albert W. Ondis, III.
- F7These shares are owned indirectly by Albert W. Ondis, III, as trustee of a trust for a child of Albert W. Ondis, III.
- F8These shares are owned directly by Albert W. Ondis, III.
- F9These shares are owned indirectly by Alexis Ondis, as trustee of a trust for a child of Alexis Ondis.
Remarks
Albert W. Ondis, III, Alexis Ondis and April Ondis are each co-executors of the Estate of Albert W. Ondis and ten percent owners of the issuer.