SEC Form 4 · accession 0000086115-16-000257

SAFEGUARD SCIENTIFICS INC · SFE

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — President & CEO · Director

Period of report

Aug 27, 2016

Accepted (ET)

Aug 29, 2016 · 11:17 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^F1	Aug 27, 2016	A	227	$0.00	A	103,792	D
Common Stock	Aug 27, 2016	F	104	$13.97	D	103,688	D
Common Stock	holding	—	—		—	5,490	I	STZ DB Plan

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (right to buy)^F2	$7.41	Aug 27, 2016	A	71	A	—	Sep 30, 2016	Common Stock	71	71	D
Stock Option (right to buy)^F3	$15.07	Aug 27, 2016	A	453	A	—	Sep 30, 2021	Common Stock	453	453	D

F1On September 30, 2011, the reporting person was granted a performance stock unit to acquire 7,371 shares of common stock, the vesting of which is subject to the satisfaction of certain corporate performance criteria. In accordance with the previously established criteria, a portion of such performance stock units vested and the underlying shares were issued as reported in Table I.
F2On September 30, 2008, the reporting person was granted an option to purchase 4,375 shares of common stock, the vesting of which is subject to the satisfaction of certain corporate performance criteria. In accordance with the previously established criteria, a portion of such options vested as reported in Table II.
F3On September 30, 2011, the reporting person was granted an option to purchase 14,741 shares of common stock, the vesting of which is subject to the satisfaction of certain corporate performance criteria. In accordance with the previously established criteria, a portion of such options vested as reported in Table II.