SEC Form 4 · accession 0000914122-17-000024
Perma-Pipe International Holdings, Inc. · PPIH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bradley E Mautner
Director
Period of report
Jun 14, 2017
Accepted (ET)
Jun 20, 2017 · 2:12 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000914122
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stock | Jun 14, 2017 | M | 12,757 | $8.00 | A | 383,225 | D | |
| Common stock | Jun 19, 2017 | M | 16,772 | $7.90 | A | 399,997 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted stockF4,F1,F2 | — | Jun 14, 2017 | F | 7,206 | D | — | — | Common stock | 7,206 | 100,218 | D |
| Restricted stockF5,F1,F2 | — | Jun 14, 2017 | M | 12,757 | D | — | — | Common stock | 12,757 | 87,461 | D |
| Restricted stockF4,F1,F3 | — | Jun 19, 2017 | F | 9,474 | D | — | — | Common stock | 9,474 | 77,987 | D |
| Restricted stockF5,F1,F3 | — | Jun 19, 2017 | M | 16,772 | D | — | — | Common stock | 16,772 | 61,215 | D |
Explanation of responses
- F1Each restricted stock represents a contingent right to receive one share of the issuer's common stock
- F2restricted stock vested 6/14/2017
- F3restricted stock vested 6/19/2017
- F4The shares of common stock underlying the restricted stock reported as disposed herein were retained (but not issued) by the issuer in satisfaction of tax withholding obligations associated with the vesting of restricted stock
- F5The restricted stock reported as disposed herein were settled for shares of the issuer's stock