SEC Form 4 · accession 0000914122-17-000038
Perma-Pipe International Holdings, Inc. · PPIH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David J Mansfield
Officer — President and CEO · Director
Period of report
Nov 8, 2017
Accepted (ET)
Nov 13, 2017 · 5:29 pm EST
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 | Nov 8, 2017 | M | 9,138 | $8.35 | A | 9,138 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted stockF3,F1,F2 | — | Nov 8, 2017 | F | 3,440 | D | Nov 8, 2017 | — | Common stock | 3,440 | 72,888 | D |
| Restricted stockF4,F1,F2 | — | Nov 8, 2017 | M | 9,138 | D | Nov 8, 2017 | — | Common stock | 9,138 | 63,750 | D |
Explanation of responses
- F1Each restricted stock represents a contingent right to receive one share of the issuer's common stock
- F2restricted stock vested 11/8/2017
- F3The 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
- F4The restricted stock reported as disposed herein were settled for shares of the issuer's stock