SEC Form 4 · accession 0001437749-18-000647
TUCOWS INC /PA/ · TCX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jody Stocks
Officer — VP Engineering
Period of report
Jan 11, 2018
Accepted (ET)
Jan 16, 2018 · 2:47 pm 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 | Jan 11, 2018 | M | 2,500 | $2.92 | A | 4,791 | I | Jody Stocks TFSA/RRSP |
| Common StockF1 | Jan 11, 2018 | F | 820 | $0.00 | D | 3,971 | I | Jody Stocks/TFSA RRSP |
| Common Stock | Jan 11, 2018 | M | 1,500 | $5.52 | A | 5,471 | I | Jody Stocks TFSA/RRSP |
| Common StockF1 | Jan 11, 2018 | F | 492 | $0.00 | D | 4,979 | I | Jody Stocks TFSA/RRSP |
| Common Stock | holding | — | — | — | 3,324 | D | ||
| Common Stock | holding | — | — | — | 5,155 | I | Per spouse Dawn Stocks |
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) | $2.92 | Jan 11, 2018 | M | 2,500 | D | Aug 14, 2015 | Aug 14, 2018 | Common Stock | 2,500 | 0 | D |
| Stock Option (Right to Buy) | $5.52 | Jan 11, 2018 | M | 1,500 | D | May 17, 2016 | May 17, 2019 | Common Stock | 1,500 | 0 | D |
Explanation of responses
- F1Under the terms of the Issuer's stock incentive plan, these shares were withheld by the Issuer to cover the option exercise price and tax withholding obligations related to the net exercise of the above options.