SEC Form 4 · accession 0000086115-16-000275
SAFEGUARD SCIENTIFICS INC · SFE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey B McGroarty
Officer — Senior VP & CFO
Period of report
Sep 14, 2016
Accepted (ET)
Sep 16, 2016 · 9:49 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 | Sep 14, 2016 | M | 4,166 | $7.41 | A | 28,785 | D | |
| Common Stock | Sep 14, 2016 | F | 3,178 | $12.7375 | D | 25,607 | D | |
| Common Stock | Sep 15, 2016 | F | 78 | $12.98 | D | 25,529 | 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 | $7.41 | Sep 14, 2016 | M | 4,166 | D | — | Sep 30, 2016 | Common Stock | 4,166 | 0 | D |
Explanation of responses
- F1Option vested 25% on the first anniversary of the grant date and in 36 equal monthly installments on the same date of each calendar month thereafter.