SEC Form 4 · accession 0000944075-17-000006
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
Mar 3, 2017
Accepted (ET)
Mar 7, 2017 · 2:37 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 | Mar 3, 2017 | C | 929 | $0.95 | A | 9,475 | D | |
| Common | Mar 3, 2017 | D | 929 | $4.50 | D | 8,546 | D | |
| Common | Mar 6, 2017 | C | 4,071 | $0.95 | A | 12,617 | D | |
| Common | Mar 6, 2017 | D | 4,071 | $4.5199 | 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 | $0.95 | Mar 3, 2017 | X | 929 | D | — | Mar 3, 2024 | Common | 929 | 149,190 | D |
| Common stock optionF2 | $0.95 | Mar 6, 2017 | X | 4,071 | D | — | Mar 3, 2024 | Common | 4,071 | 145,119 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F2Monthly vesting