SEC Form 5 · accession 0001493152-18-008810
SINGING MACHINE CO INC · SMDM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph Kling
Director
Period of report
Mar 31, 2018
Accepted (ET)
Jun 18, 2018 · 9:53 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000923601
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common stockF1 | Feb 1, 2017 | P | 25,000 | $0.56 | A | 25,000 | D | |
| Common stockF2 | Aug 1, 2017 | J | 4,545 | $0.55 | A | 29,545 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options for Common StockF3 | $0.55 | Apr 1, 2018 | J | 20,000 | A | Mar 31, 2019 | Mar 31, 2028 | Common Stock | 20,000 | 40,000 | D |
Explanation of responses
- F1Open market purchase
- F2All stock grants were awarded as part of the Company's annual director compensation plan.
- F3All options were granted as part of the Company's annual director compensation plan.