SEC Form 4 · accession 0000944075-16-000091
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
Dec 13, 2016
Accepted (ET)
Dec 15, 2016 · 12:34 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 | Dec 13, 2016 | C | 5,000 | $1.04 | A | 13,546 | D | |
| Common | Dec 13, 2016 | S | 5,000 | $4.00 | 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 optionF2 | $1.04 | Dec 13, 2016 | X | 5,000 | D | — | Apr 1, 2023 | Common | 5,000 | 156,919 | D |
Explanation of responses
- F1Automatic sale 10b5-1 plan dated 6/13/16.
- F2Vests monthly over 48 months.