SEC Form 4 · accession 0000086115-17-000049
SAFEGUARD SCIENTIFICS INC · SFE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen T Zarrilli
Officer — President & CEO · Director
Period of report
Apr 19, 2017
Accepted (ET)
Apr 20, 2017 · 9:24 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 | Apr 19, 2017 | M | 3,625 | $9.825 | A | 133,378 | D | |
| Common Stock | Apr 19, 2017 | F | 2,849 | $12.50 | D | 130,529 | D | |
| Common Stock | holding | — | — | — | 11,490 | I | STZ DB Plan |
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 | $9.825 | Apr 19, 2017 | M | 3,625 | D | — | Oct 30, 2017 | Common Stock | 3,625 | 0 | D |
Explanation of responses
- F1Option vested 25% on October 30, 2010 and the remaining 75% vested in 36 equal monthly installments on the same date of each calendar month thereafter.