SEC Form 4 · accession 0001179110-18-004496
ALPHA PRO TECH LTD · APT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David R Garcia
Director
Period of report
Mar 14, 2018
Accepted (ET)
Mar 16, 2018 · 5:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000884269
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| common stock | Mar 14, 2018 | M | 15,000 | $1.58 | A | 15,000 | D | |
| common stock | Mar 14, 2018 | M | 1,330 | $1.51 | A | 16,330 | D | |
| common stock | Mar 14, 2018 | S | 600 | $3.425 | D | 15,730 | D | |
| common stock | Mar 14, 2018 | S | 12,130 | $3.40 | D | 3,600 | D | |
| common stock | Mar 15, 2018 | S | 3,600 | $3.40 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| options | $1.58 | Mar 14, 2018 | M | 10,000 | D | Nov 18, 2016 | Nov 18, 2020 | common stock | 10,000 | 70,000 | D |
| options | $1.58 | Mar 14, 2018 | M | 5,000 | D | Nov 18, 2017 | Nov 18, 2020 | common stock | 5,000 | 65,000 | D |
| options | $1.51 | Mar 14, 2018 | M | 1,330 | D | Sep 29, 2015 | Sep 29, 2018 | common stock | 1,330 | 63,670 | D |