SEC Form 3 · accession 0001209191-17-051059
AstroNova, Inc. · ALOT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph P Oconnell
Officer — Interim CFO
Period of report
Sep 1, 2017
Accepted (ET)
Sep 1, 2017 · 4:28 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 Stock | holding | — | — | — | 114,864 | D | ||
| Common Stock | holding | — | — | — | 1,718 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Purchase)F1 | $14.20 | holding | — | — | — | Mar 17, 2014 | Mar 17, 2024 | Common Stock | 7,500 | — | D |
| Stock Option (Right to Purchase)F1 | $8.35 | holding | — | — | — | Mar 29, 2012 | Mar 29, 2022 | Common Stock | 5,175 | — | D |
| Stock Option (Right to Purchase)F1 | $7.36 | holding | — | — | — | Mar 15, 2010 | Mar 15, 2020 | Common Stock | 4,800 | — | D |
| Restricted Stock UnitF2 | $0.00 | holding | — | — | — | Mar 14, 2016 | — | Common Stock | 64 | — | D |
| Restricted Stock UnitF3 | $0.00 | holding | — | — | — | May 20, 2015 | — | Common Stock | 6,189 | — | D |
Explanation of responses
- F1Date indicated is date of grant. Option vests in four equal installments, commencing on the date of grant.
- F2Each restricted stock unit represents a contingent right to receive one share of ALOT common stock. Shares vest in two equal installments on May 14, 2018 and 2019.
- F3Each restricted stock unit represents a contingent right to receive one share of ALOT common stock. Shares vest in two equal installments on May 20, 2018 and 2019.
Remarks
This report is being filed in connection with the reporting person's appointment to the position of Interim Chief Financial Officer and Treasurer of the issuer.