SEC Form 4 · accession 0000086115-17-000124
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, 2017
Accepted (ET)
Oct 16, 2017 · 2:59 pm 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 (Fee Deferral)F1 | — | Oct 15, 2017 | A | 1,767 | A | — | — | Common Stock | 1,767 | 17,817 | D |
| Deferred Stock Units (Match)F2 | — | Oct 15, 2017 | A | 442 | A | — | — | Common Stock | 442 | 4,449 | 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.
- F2The deferred stock units are payable in stock, on a one-for-one basis, and vest on the first anniversary of the grant date. 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.