SEC Form 4 · accession 0001555569-16-000020
ENCISION INC · ECIA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick W Pace
Director
Period of report
Apr 18, 2012
Accepted (ET)
Nov 21, 2016 · 3:27 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 | $1.15 | Apr 18, 2012 | D | 10,000 | A | — | Jul 18, 2017 | Common Stock | 10,000 | 10,000 | D |
| Common Stock Option-right to buyF2 | $1.15 | Aug 7, 2013 | D | 20,000 | A | — | Nov 7, 2018 | Common Stock | 20,000 | 20,000 | D |
| Common Stockk Option-right to buyF3 | $0.85 | Dec 27, 2013 | D | 20,000 | A | — | Mar 27, 2019 | Common Stock | 20,000 | 20,000 | D |
| Restricted Stock UnitsF4 | $0.70 | Oct 22, 2014 | D | 14,286 | A | — | Jan 22, 2020 | Common Stock | 14,286 | 14,286 | D |
| Restricted Stock UnitF5 | $0.50 | Aug 5, 2015 | D | 10,000 | A | — | Nov 5, 2020 | Common Stock | 10,000 | 10,000 | D |
| Common Stock Options-right to buyF6 | $0.31 | Aug 10, 2016 | D | 10,000 | A | — | Nov 10, 2021 | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1The shares subject to the option grant vest 33% after the first year and in 24 equal monthly installments there after.
- F2The shares subject to the option grant vest 33% after the first year and in 24 equal monthly installments there after.
- F3The shares subject to the option grant vest 33% after the first year and in 24 equal monthly installments there after.
- F4The shares subject to this restricted stock grant vest 33% after the first year and in 24 equal monthly installments there after.
- F5The shares subject to this restricted stock grant vest 33% after the first year and in 24 equal monthly installments there after.
- F6The shares subject to this stock option grant vest 33% after the first year and in 24 equal monthly installments there after.