SEC Form 4 · accession 0000944075-17-000010
SOCKET MOBILE, INC. · SCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Leonard L Ott
Officer — VP Engineering & CTO
Period of report
Mar 31, 2017
Accepted (ET)
Apr 4, 2017 · 1:19 pm EDT
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 31, 2017 | C | 3,211 | $2.95 | A | 4,651 | D | |
| Common | Mar 31, 2017 | D | 3,211 | $4.17 | D | 1,440 | D | |
| Common | Apr 3, 2017 | C | 11,544 | $2.90 | A | 12,984 | D | |
| Common | Apr 3, 2017 | D | 11,544 | $4.32 | D | 1,440 | 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 | $2.95 | Mar 31, 2017 | X | 3,211 | D | — | Jul 1, 2020 | Common | 3,211 | 138,228 | D |
| Common stock optionF1 | $2.90 | Apr 3, 2017 | X | 11,544 | D | — | Jul 1, 2020 | Common | 11,544 | 126,684 | D |
Explanation of responses
- F1Vests monthly over 48 months