SEC Form 4 · accession 0001209191-18-037488
AstroNova, Inc. · ALOT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael J Natalizia
Officer — Vice President and CTO
Period of report
Jun 11, 2018
Accepted (ET)
Jun 13, 2018 · 4:41 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 | Jun 11, 2018 | F | 343 | $18.15 | D | 19,505 | D | |
| Common Stock | Jun 12, 2018 | F | 2,490 | $18.15 | D | 17,015 | D | |
| Common StockF2 | Jun 13, 2018 | S | 4,000 | $19.10 | D | 13,015 | D | |
| Common Stock | Jun 11, 2018 | M | 1,000 | $6.22 | A | 14,015 | D | |
| Common Stock | Jun 12, 2018 | M | 1,000 | $7.36 | A | 15,015 | D | |
| Common Stock | Jun 12, 2018 | M | 1,000 | $7.95 | A | 16,015 | D | |
| Common Stock | Jun 12, 2018 | M | 3,575 | $8.35 | A | 19,590 | 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) | $6.22 | Jun 11, 2018 | M | 1,000 | D | Mar 18, 2009 | Mar 18, 2019 | Common Stock | 1,000 | 0 | D |
| Stock Option (Right to Purchase) | $7.36 | Jun 12, 2018 | M | 1,000 | D | Mar 15, 2010 | Mar 15, 2020 | Common Stock | 1,000 | 0 | D |
| Stock Option (Right to Purchase) | $7.95 | Jun 12, 2018 | M | 1,000 | D | Mar 14, 2011 | Mar 14, 2021 | Common Stock | 1,000 | 0 | D |
| Stock Option (Right to Purchase) | $8.35 | Jun 12, 2018 | M | 3,575 | D | Mar 29, 2012 | Mar 29, 2022 | Common Stock | 3,575 | 0 | D |
Explanation of responses
- F1This amount includes shares purchased through the AstroNova, Inc. Employee Stock Purchase Plan throughout 2018.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.10 to $19.15. The reporting person undertakes to provide to AstroNova, Inc., any security holder of AsroNova, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.