SEC Form 4 · accession 0001140361-15-042759
AstroNova, Inc. · ALOT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
April Ondis
Director · 10% Owner
Period of report
Nov 22, 2015
Accepted (ET)
Nov 24, 2015 · 4:31 pm 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 StockF1,F5 | Nov 22, 2015 | A | 736 | $0.00 | A | 736 | D | |
| Common StockF1 | holding | — | — | — | 125,270 | D | ||
| Common StockF2 | holding | — | — | — | 882,305 | I | Held by the Estate of Albert W. Ondis of which April Ondis is a co-executor | |
| Common StockF3 | holding | — | — | — | 3,858 | I | Held under the issuer's Employee Stock Ownership Plan for the account of Albert W. Ondis | |
| Common StockF4 | holding | — | — | — | 670 | I | Held under the issuer's Employee Stock Ownership Plan for the account of April Ondis |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF1,F6 | $13.31 | Nov 22, 2015 | A | 5,000 | A | Nov 22, 2015 | Nov 22, 2025 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1These shares are owned directly by April Ondis.
- F2These 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.
- F3These 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.
- F4These shares are owned indirectly by April Ondis.
- F5Restricted 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 2016 annual meeting of the shareholders or special meeting in lieu thereof and (ii) the one year anniversary of the grant date.
- F6This option becomes exercisable immediately prior to the occurrence of the issuer's 2016 annual meeting of shareholders.
Remarks
April Ondis is a co-executor of the Estate of Albert W. Ondis which owns greater than 10% of the outstanding stock of the issuer.