SEC Form 4 · accession 0001209191-17-020880
AstroNova, Inc. · ALOT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph P Oconnell
Officer — Chief Financial Officer
Period of report
Mar 13, 2017
Accepted (ET)
Mar 15, 2017 · 5:58 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 | Mar 13, 2017 | F | 380 | $12.85 | D | 110,461 | D | |
| Common Stock | Mar 13, 2017 | A | 982 | $0.00 | A | 111,443 | D | |
| Common Stock | Mar 14, 2017 | F | 13 | $13.58 | D | 111,430 | D | |
| Common Stock | Mar 14, 2017 | M | 32 | $0.00 | A | 111,462 | D | |
| Common Stock | holding | — | — | — | 2,262 | 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 UnitF3,F4 | — | Mar 14, 2017 | M | 32 | D | — | — | Common Stock | 32 | 64 | D |
Explanation of responses
- F1Represents the estimated number of shares withheld in connection with the satisfaction of the Reporting Person's tax withholding requirement arising from the vesting of shares under a previously reported award of restricted stock units.
- F2Shares issued in settlement of performance based stock units earned on March 13, 2016. Shares are fully vested when earned.
- F3Each restricted stock unit represents a contingent right to receive on share of ALOT common stock.
- F4The remaining restricted stock units vest in two equal installments beginning on March 14, 2018.