SEC Form 4 · accession 0001179110-15-015216
ALPHA PRO TECH LTD · APT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David B Anderson
Director
Period of report
Nov 18, 2015
Accepted (ET)
Nov 20, 2015 · 2:22 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000884269
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| optionsF1 | $1.58 | Nov 18, 2015 | A | 10,000 | A | Nov 18, 2016 | Nov 18, 2020 | common stock | 10,000 | 55,000 | D |
| options | $1.58 | Nov 18, 2015 | A | 10,000 | A | Nov 18, 2017 | Nov 18, 2020 | common stock | 10,000 | 65,000 | D |
| options | $1.58 | Nov 18, 2015 | A | 10,000 | A | Nov 18, 2018 | Nov 18, 2020 | common stock | 10,000 | 75,000 | D |
Explanation of responses
- F1This total also reflects the expiration and disposition of 15,000 stock options granted to the reporting person on August 29,2007 with an exercise price of $1.50, which expired on August 29, 2012 and 15,000 stock options granted to the reporting person on September 11,2008 with an exercise price of $1.23, which expired on September 10, 2013(the"Expired Options"). The reporting person did not receive any value in connection with the expiration of the Expired Options; therefore, the resulting disposition of the Expired Options was exempt from Section 16(b) by virtue of Rule 16b-6(d) and further from the reporting requirements of Section 16(a) by virtue of Rule 16a-4(d), both rules promulgated by the Securities and Exchange Commission pursuant to the Securities Exchange Act of 1934, as amended