SEC Form 4 · accession 0001179110-18-012436
ARC Group Worldwide, Inc. · ARCW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Aaron Willman
Officer — Chief Financial Officer
Period of report
Sep 20, 2018
Accepted (ET)
Nov 1, 2018 · 2:30 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000826326
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jul 31, 2018 | J | 1,579 | $2.15 | A | 5,635 | D | |
| Common Stock | Jan 31, 2018 | J | 1,580 | $2.05 | A | 4,056 | D | |
| Common Stock | Jul 31, 2017 | J | 1,135 | $2.85 | A | 2,476 | D | |
| Common Stock | Jan 31, 2017 | J | 1,341 | $4.40 | A | 1,341 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F2 | $2.35 | May 14, 2018 | A | 8,626 | A | — | May 14, 2025 | Common Stock | 8,626 | 16,431 | D |
| Stock Options (Right to Buy)F3 | $4.40 | Feb 10, 2017 | A | 17,600 | A | — | Feb 10, 2027 | Common Stock | 17,600 | 14,274 | D |
| Stock Options (right to buy)F4 | $2.50 | Aug 26, 2016 | A | 4,774 | A | — | Aug 26, 2023 | Common Stock | 4,774 | 14,274 | D |
| Stock Options (right to buy)F5 | $1.51 | Jan 15, 2016 | A | 19,000 | A | — | Jan 15, 2023 | Common Stock | 19,000 | 9,500 | D |
Explanation of responses
- F1The Reporting Person is filing this Form 4 voluntarily in lieu of a Form 5 filing in respect of the Form 3 for the Reporting Person that was not filed in a timely manner in connection with the appointment of the Reporting Person as Chief Financial Officer of the Company effective September 20, 2018.
- F2Options granted to the reporting person on May 14, 2018. Of such options, 2,157 vested and became exercisable on the grant date, and the balance vest 25% on each anniversary of the date of grant until the Stock Options have vested in full. The Options shall expire on May 14, 2025, the seventh anniversary of the date of grant. As of the date of this report, 2,157 options were vested and exercisable.
- F3Options granted to the reporting person on February 10, 2017. Of such options, 17,600 vest and become exercisable on December 31, 2018. The stock options will expire on February 10, 2027.
- F4Options granted to the reporting person on August 26, 2016. Of such options, 4,774 vested and became exercisable on August 26, 2016, the date of grant. The Stock Options will expire on August 26, 2023.
- F5Options granted to the reporting person on January 14, 2016. Of such options, 3,800 vested and became exercisable on the grant date, and the balance vest 20% each anniversary of the date of grant until the stock options have vested in full. The options shall expire on January 14, 2023, the seventh anniversary of the date of grant. As of the date of this report, 9,500 options were vested and exercisable.