SEC Form 4 · accession 0001209191-15-004661
BTU INTERNATIONAL INC · BTUI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John J McCaffrey Jr.
Officer — Vice President
Period of report
Jan 16, 2015
Accepted (ET)
Jan 16, 2015 · 4:04 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000840883
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 16, 2015 | M | 4,800 | $2.00 | A | 10,800 | D | |
| Common Stock | Jan 16, 2015 | M | 1,200 | $2.35 | A | 12,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options (right to buy)F2,F1 | $2.00 | Jan 16, 2015 | M | 4,800 | D | — | Nov 5, 2019 | Common Stock | 4,800 | 0 | D |
| Options (right to buy)F2,F3 | $2.35 | Jan 16, 2015 | M | 1,200 | D | — | Jun 3, 2020 | Common Stock | 1,200 | 0 | D |
Explanation of responses
- F12,400 shares on and after November 5, 2013, and 2,400 shares on and after November 5, 2014.
- F2Price is omitted because the transaction is a grant of a stock option.
- F31,200 shares on and after June 3, 2014, and 1,200 shares on and after June 3, 2015.