SEC Form 4 · accession 0001555569-16-000014
ENCISION INC · ECIA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mala M Ray
Officer — Corporate Secretary & Treasure
Period of report
Jun 27, 2012
Accepted (ET)
Nov 9, 2016 · 1:12 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000930775
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Option- right to buyF1 | $1.34 | Jun 27, 2012 | A | 20,000 | A | — | Sep 27, 2017 | Common Stock | 20,000 | 20,000 | D |
| Common Stock Options-right to buyF2 | $1.15 | Jan 22, 2014 | A | 20,000 | A | — | Apr 22, 2019 | Common Stock | 20,000 | 20,000 | D |
| Common Stock Options- right to buyF3 | $0.50 | Aug 5, 2015 | A | 10,000 | A | — | Nov 5, 2020 | Common Stock | 10,000 | 10,000 | D |
| Common Stock Options-right to buyF4 | $0.31 | Aug 10, 2016 | A | 15,000 | A | — | Aug 10, 2021 | Common Stock | 15,000 | 15,000 | D |
Explanation of responses
- F1The shares subject to the option grant vest in equal installments on each of June 27, 2013, June 27, 2014, June 27, 2015, June 27, 2016 and June 27, 2017.
- F2The shares subject to the option grant vest in equal installments on each of January 22, 2015, January 22,2016, January 22, 2017, January 22, 2018 and January 22, 2019.
- F3The shares subject to the option grant vest in equal installments on each of August 5, 2016, August 5, 2017, August 5, 2018, August 5, 2019 and August 5, 2020.
- F4The shares subject to the option grant vest in equal installments on each of August 10, 2017, August 10, 2018, August 10, 2019, August 10, 2020 and August 10, 2021.