SEC Form 4 · accession 0001144204-16-137376
SMITH MIDLAND CORP · SMID
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rodney I Smith
Officer — CEO · Director
Period of report
Aug 29, 2016
Accepted (ET)
Dec 1, 2016 · 12:24 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000924719
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 29, 2016 | M | 40,000 | $1.21 | A | 713,398 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (Right to Buy)F1 | $1.21 | Aug 29, 2016 | M | 40,000 | A | — | Jun 30, 2018 | Common Stock | 40,000 | 0 | D |
Explanation of responses
- F1Options became exercisable cumulatively to the extent of 1/3 of the number of underlying shares on each of June 30, 2009, 2010 and 2011.