SEC Form 4 · accession 0001140361-17-013608
CLEARONE INC · CLRO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward D Bagley
10% Owner
Period of report
Oct 4, 2016
Accepted (ET)
Mar 28, 2017 · 4:34 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000840715
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 4, 2016 | X | 834 | $3.004 | A | 1,834,877 | D | |
| Common StockF1 | holding | — | — | — | 926,166 | I | See Footnote |
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 Buy) | $3.004 | Oct 4, 2016 | X | 834 | D | Mar 26, 2013 | May 26, 2020 | Common Stock | 834 | 0 | D |
Explanation of responses
- F1Mr. Bagley may be deemed to own 126,166 shares that are owned by Carolyn Bagley, Mr. Bagley's wife, and 800,000 shares that are held in a trust for which Carolyn Bagley acts as one of four co-trustees. Mr. Bagley disclaims beneficial ownership of these shares.