SEC Form 4 · accession 0000944075-16-000090
SOCKET MOBILE, INC. · SCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David W Dunlap
Officer — Chief Financial Officer · Director
Period of report
Nov 29, 2016
Accepted (ET)
Nov 30, 2016 · 12:41 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000944075
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common | Nov 29, 2016 | C | 3,400 | $1.04 | A | 12,246 | D | |
| Common | Nov 29, 2016 | D | 3,400 | $3.22 | D | 8,546 | D | |
| Common | Nov 30, 2016 | C | 1,300 | $1.04 | A | 9,846 | D | |
| Common | Nov 30, 2016 | D | 1,300 | $3.28 | D | 8,546 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common stock optionF1 | $1.04 | Nov 29, 2016 | X | 3,400 | D | — | Apr 1, 2023 | Common | 3,400 | 163,219 | D |
| Common stock optionF1 | $1.04 | Nov 30, 2016 | X | 1,300 | D | — | Apr 1, 2023 | Common | 1,300 | 161,919 | D |
Explanation of responses
- F1Vests monthly over 48 months.