SEC Form 4 · accession 0000944075-17-000045
SOCKET MOBILE, INC. · SCKT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lee Baillif
Officer — VP of Operations
Period of report
Sep 5, 2017
Accepted (ET)
Sep 6, 2017 · 1:12 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 Stock | Sep 5, 2017 | M | 29,841 | $1.25 | A | 31,199 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Convertible Subordinated NoteF1 | $1.25 | Sep 5, 2017 | M | 37,302 | D | — | Sep 4, 2017 | Common | 29,841 | 0 | D |
Explanation of responses
- F1Convertible into common stock on or before maturity date of 9/4/2017.