SEC Form 4 · accession 0000944075-18-000023
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
May 31, 2018
Accepted (ET)
Jun 4, 2018 · 1:28 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 | May 31, 2018 | C | 2,917 | $0.95 | A | 11,463 | D | |
| Common | May 31, 2018 | C | 1,212 | $1.04 | A | 12,675 | D | |
| Common | May 31, 2018 | S | 4,129 | $2.57 | 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 optionF1 | $0.95 | May 31, 2018 | X | 2,917 | D | — | Mar 3, 2024 | Common | 2,917 | 148,422 | D |
| Common stock optionF1 | $1.04 | May 31, 2018 | X | 1,212 | D | — | Apr 1, 2023 | Common | 1,212 | 147,210 | D |
Explanation of responses
- F1Vests monthly over 48 months.