SEC Form 4 · accession 0001209191-18-021056
AstroNova, Inc. · ALOT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory A Woods
Officer — CHIEF EXECUTIVE OFFICER · Director
Period of report
Mar 20, 2018
Accepted (ET)
Mar 21, 2018 · 3:49 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 20, 2018 | F | 1,302 | $14.25 | D | 73,843 | D | |
| Common Stock | Mar 20, 2018 | A | 3,267 | $0.00 | A | 77,110 | D |
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 20, 2018 | A | 14,883 | A | — | — | Common Stock | 14,883 | 14,883 | D |
Explanation of responses
- F1This amount includes shares purchased through the AstroNova,Inc. Employee Stock Purchase Plan throughout 2016 and 2017.
- F2Shares issued in settlement of performance based stock units earned March 20, 2018. Shares are fully vested when earned.
- F3Each restricted stock unit represents a contingent right to receive one share of ALOT common stock.
- F4The restricted stock units vest in three equal annual installments beginning March 20, 2019.