SEC Form 4 · accession 0000086115-15-000069
SAFEGUARD SCIENTIFICS INC · SFE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian J Sisko
Officer — COO, EVP & Managing Director
Period of report
Aug 20, 2015
Accepted (ET)
Aug 21, 2015 · 7:53 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000086115
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 20, 2015 | M | 13,610 | $12.636 | A | 91,090 | D | |
| Common Stock | Aug 20, 2015 | F | 9,465 | $18.17 | D | 81,625 | 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 buy)F1 | $12.636 | Aug 20, 2015 | M | 13,610 | D | — | Aug 20, 2015 | Common Stock | 13,610 | 0 | D |
Explanation of responses
- F1Option vests 25% on the first anniversary of the grant date and in 36 equal monthly installments on the same date of each calendar month thereafter.