SEC Form 4 · accession 0001196395-15-000069
SERVOTRONICS INC /DE/ · SVT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cari L Jaroslawsky
Officer — Chief Financial Officer
Period of report
Nov 23, 2015
Accepted (ET)
Nov 23, 2015 · 4:54 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000089140
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 1, 2015 | M | 1,000 | $4.70 | D | 16,205 | D | |
| Common StockF2 | holding | — | — | — | 2,378 | I | By ESOT |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options (Right to Buy)F3 | $4.70 | Nov 23, 2015 | M | 1,000 | D | — | Dec 29, 2015 | Common Stock | 1,000 | 0 | D |
Explanation of responses
- F1As of the date hereof, the Reporting Person's direct beneficial ownership includes 9,000 restricted shares granted under the Company's 2012 Long-Term Incentive Plan that have not yet vested.
- F2Includes an additional 594.3398 shares allocated to the reporting person pursuant to the Company Employee Stock Ownership Plan since the last required Form 4.
- F3All of the options are currently exercisable.