SEC Form 4 · accession 0000086115-16-000296
SAFEGUARD SCIENTIFICS INC · SFE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Joseph Roberts
Director
Period of report
Oct 15, 2016
Accepted (ET)
Oct 18, 2016 · 8:09 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000086115
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Stock Units (Match)F1 | — | Oct 15, 2016 | A | 346 | A | — | — | Common Stock | 346 | 2,781 | D |
| Deferred Stock Units (Fee Deferral)F1 | — | Oct 15, 2016 | A | 1,383 | A | — | — | Common Stock | 1,383 | 11,143 | D |
Explanation of responses
- F1The deferred stock units are payable in stock, on a one-for-one basis, and are fully vested at grant. Distributions in respect of the deferred stock units will be made following termination of service as a director at times established in accordance with the terms of the applicable equity compensation plan of the Issuer.