SEC Form 4 · accession 0001140361-17-014136
VASO Corp · VASO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter C Castle
Officer — Chief Operating Officer · Director
Period of report
Mar 29, 2017
Accepted (ET)
Mar 31, 2017 · 11:06 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000839087
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF3,F1,F2 | Mar 29, 2017 | A | 400,000 | — | A | 2,825,000 | D | |
| Common StockF1,F2 | holding | — | — | — | 2,425,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 1,500,000 restricted shares issued on 6/15/2015 of which 500,000 vested immediately, 250,000 vested on 6/15/16, and the remaining shares contingently vest as follows: 250,000 on 6/15/17, 250,000 on 6/15/18 and 250,000 on 6/15/19.
- F2Includes 600,000 restricted shares issued on July 5, 2016 of which 200,000 vested immediately with the remaining shares contingently vesting as follows: 200,000 on July 5, 2017 and 200,000 on July 5, 2018.
- F3Restricted shares which vest on April 1, 2017.