SEC Form 4 · accession 0000944075-17-000034
SOCKET MOBILE, INC. · SCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Leonard L Ott
Officer — VP Engineering and CTO
Period of report
Aug 1, 2017
Accepted (ET)
Aug 3, 2017 · 12:53 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 | Aug 1, 2017 | C | 500 | $3.04 | A | 1,940 | D | |
| CommonF1 | Aug 1, 2017 | D | 500 | $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 | $3.04 | Aug 1, 2017 | X | 500 | D | — | Jul 1, 2020 | Common | 500 | 135,312 | D |
Explanation of responses
- F1Automatic 10b5-1 Plan transaction. Plan dated 3/31/2017.
- F2Vests monthly over 48 months.