SEC Form 4 · accession 0001437749-17-003731
TUCOWS INC /PA/ · TCX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Carla Anne Goertz
Officer — EVP Human Resources
Period of report
Mar 1, 2017
Accepted (ET)
Mar 3, 2017 · 8:41 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000909494
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 1, 2017 | M | 8,750 | $2.92 | A | 8,750 | D | |
| Common Stock | Mar 1, 2017 | M | 7,500 | $5.52 | A | 16,250 | D | |
| Common Stock | Mar 1, 2017 | M | 6,250 | $5.76 | A | 22,500 | D | |
| Common Stock | Mar 1, 2017 | M | 4,687 | $10.16 | A | 27,187 | D | |
| Common Stock | Mar 1, 2017 | M | 2,500 | $19.41 | A | 29,687 | D | |
| Common Stock | Mar 1, 2017 | M | 1,250 | $21.10 | A | 30,937 | D | |
| Common Stock | holding | — | — | — | 1,275 | I | Spousal RRSP |
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)F1 | $2.92 | Mar 1, 2017 | M | 8,750 | D | Aug 14, 2014 | Aug 14, 2018 | Common Stock | 8,750 | 0 | D |
| Stock Option (Right to Buy)F1 | $5.52 | Mar 1, 2017 | M | 7,500 | D | May 17, 2016 | May 17, 2019 | Common Stock | 7,500 | 0 | D |
| Stock Option (Right to Buy)F1 | $5.76 | Mar 1, 2017 | M | 6,250 | D | Dec 31, 2016 | Dec 31, 2019 | Common Stock | 6,250 | 0 | D |
| Stock Option (Right to Buy)F1 | $10.16 | Mar 1, 2017 | M | 4,687 | D | Nov 10, 2017 | Nov 10, 2020 | Common Stock | 4,687 | 0 | D |
| Stock Option (Right to Buy)F1 | $19.41 | Mar 1, 2017 | M | 2,500 | D | Jan 1, 2019 | Jan 1, 2022 | Common Stock | 2,500 | 0 | D |
| Stock Option (Right to Buy)F1 | $21.10 | Mar 1, 2017 | M | 1,250 | D | Jan 3, 2020 | Jan 3, 2023 | Common Stock | 1,250 | 0 | D |
Explanation of responses
- F1Options vest equally at 25% per year after one year then being fully vested after 4 years.