SEC Form 4 · accession 0000086115-17-000099
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 14, 2017
Accepted (ET)
Aug 15, 2017 · 9:20 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 14, 2017 | M | 3,625 | $9.825 | A | 108,369 | D | |
| Common Stock | Aug 14, 2017 | F | 3,038 | $11.825 | D | 105,331 | 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 | $9.825 | Aug 14, 2017 | M | 3,625 | D | — | Oct 30, 2017 | Common Stock | 3,625 | 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.