SEC Form 4 · accession 0001555569-16-000017
ENCISION INC · ECIA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert H Fries
Director
Period of report
May 8, 2013
Accepted (ET)
Nov 9, 2016 · 5:25 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 Options-right to buyF1 | $1.45 | May 8, 2013 | A | 10,000 | A | — | Aug 8, 2019 | Common stock | 10,000 | 10,000 | D |
| Common stock options-right to buyF2 | $1.00 | Nov 6, 2013 | A | 5,000 | A | — | Feb 6, 2019 | Common Stock | 5,000 | 5,000 | D |
| Common Stock Options-right to buyF3 | $0.70 | Oct 22, 2014 | A | 10,000 | A | — | Jan 22, 2020 | Common Stock | 10,000 | 10,000 | D |
| Common Stock Options-right to buyF4 | $0.50 | Aug 5, 2015 | A | 10,000 | A | — | Nov 5, 2020 | Common Stock | 10,000 | 10,000 | D |
| Common Stock Options-right to buyF5 | $0.31 | Aug 10, 2016 | A | 10,000 | A | — | Nov 10, 2021 | Common Stock | 10,000 | 10,000 | D |
| Common Stock Options-right to buyF6 | $0.35 | Oct 26, 2016 | A | 5,000 | A | — | Jan 26, 2022 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1The shares subject to the option grant vest in 24 equal monthly installments after the May 8, 2014 service date.
- F2The shares subject to the option grant vest in 24 equal monthly installments after the November 6, 2014 service date.
- F3The shares subject to the option grant vest in 24 equal monthly installments after the October 22, 2015 service date.
- F4The shares subject to the option grant vest in 24 equal monthly installments after the August 5, 2016 service date.
- F5The shares subject to the option grant vest in 24 equal monthly installments after the August 10, 2017 service date.
- F6The shares subject to the option grant vest in 24 equal monthly installments after the October 26,2017 service date.