SEC Form 4 · accession 0000944075-17-000019
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
Apr 20, 2017
Accepted (ET)
Apr 25, 2017 · 5:34 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 | Apr 20, 2017 | C | 500 | $2.74 | A | 1,940 | D | |
| Common | Apr 20, 2017 | D | 500 | $4.30 | D | 1,440 | D | |
| Common | Apr 25, 2017 | C | 150 | $2.74 | A | 1,590 | D | |
| Common | Apr 25, 2017 | D | 150 | $4.50 | 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 optionF2 | $2.74 | Apr 20, 2017 | X | 500 | D | — | Jun 1, 2020 | Common | 500 | 136,462 | D |
| Common stock optionF2 | $2.74 | Apr 20, 2017 | X | 150 | D | — | Jun 1, 2020 | Common | 150 | 136,312 | D |
Explanation of responses
- F1Automatic 10b5-1 Plan transactions.
- F2Vests monthly over 48 months.