SEC Form 4 · accession 0001240679-15-000013
UFP TECHNOLOGIES INC · UFPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kenneth L Gestal
Director
Period of report
Mar 10, 2015
Accepted (ET)
Mar 12, 2015 · 4:41 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000914156
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $.01 Par Value | Mar 10, 2015 | M | 5,769 | $3.12 | A | 8,222 | D | |
| Common Stock, $0.1 Par Value | Mar 10, 2015 | M | 3,500 | $3.68 | A | 11,722 | D | |
| Common Stock, $0.1 Par Value | Mar 10, 2015 | M | 2,927 | $6.15 | A | 14,649 | D | |
| Common Stock, $0.1 Par Value | Mar 10, 2015 | M | 3,500 | $6.01 | A | 18,149 | D | |
| Common Stock, $0.1 Par Value | Mar 10, 2015 | M | 2,927 | $5.06 | A | 21,076 | D | |
| Common Stock, $0.1 Par ValueF1 | Mar 10, 2015 | S | 8,623 | $21.09 | D | 12,453 | D | |
| Common Stock, $0.1 Par ValueF2 | Mar 11, 2015 | S | 4,966 | $20.49 | D | 7,457 | D | |
| Common Stock, $0.1 Par ValueF3 | Mar 12, 2015 | S | 5,034 | $20.471 | D | 2,453 | D |
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) | $3.12 | Mar 10, 2015 | M | 5,769 | D | Jun 2, 2005 | Jun 2, 2015 | Common Stock, $.01 Par Value | 5,769 | 0 | D |
| Stock Option (Right to Buy) | $3.68 | Mar 10, 2015 | M | 3,500 | D | Jul 1, 2005 | Jul 1, 2015 | Common Stock, $0.1 Par Value | 3,500 | 0 | D |
| Stock Option (Right to Buy) | $6.15 | Mar 10, 2015 | M | 2,927 | D | Jun 8, 2006 | Jun 8, 2016 | Common Stock, $0.1 Par Value | 2,927 | 0 | D |
| Stock Option (Right to Buy) | $6.01 | Mar 10, 2015 | M | 3,500 | D | Jul 3, 2006 | Jul 3, 2016 | Common Stock, $0.1 Par Value | 3,500 | 0 | D |
| Stock Option (Right to Buy) | $5.06 | Mar 10, 2015 | M | 2,927 | D | Jun 6, 2007 | Jun 6, 2017 | Common Stock, $0.1 Par Value | 2,927 | 0 | D |
Explanation of responses
- F1The Price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $20.89 to $21.50, inclusive. The reporting person undertakes to provide UFP Technologies, Inc., any security holder of UFP Technologies, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.
- F2The Price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $20.13 to $21.00, inclusive. The reporting person undertakes to provide UFP Technologies, Inc., any security holder of UFP Technologies, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.
- F3The Price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $19.95 to $20.80, inclusive. The reporting person undertakes to provide UFP Technologies, Inc., any security holder of UFP Technologies, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.