SEC Form 4 · accession 0001526513-17-000008
NORTHERN TECHNOLOGIES INTERNATIONAL CORP · NTIC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
G Patrick Lynch
Officer — President and CEO · Director · 10% Owner
Period of report
Sep 1, 2017
Accepted (ET)
Sep 5, 2017 · 5:37 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000875582
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 37,052 | D | ||
| Common StockF1 | holding | — | — | — | 601,668 | I | See Footnote 1 |
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)F2 | $18.35 | Sep 1, 2017 | A | 5,852 | A | — | Aug 31, 2027 | Common Stock | 5,852 | 5,852 | D |
Explanation of responses
- F1These shares are held directly by Inter Alia Holding Company of which G. Patrick Lynch is an officer and stockholder. Mr. G. Patrick Lynch disclaims beneficial ownership of the shares held by Inter Alia Holding Company, except to the extent of his pecuniary interest therein.
- F2This option vests with respect to 1,951 shares on each of September 1, 2018 and September 1, 2019 and with respect to 1,950 shares on September 1, 2020.