SEC Form 4 · accession 0001567619-18-001769
ASTEA INTERNATIONAL INC · ATEA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric S. Siegel
Director
Period of report
Aug 23, 2018
Accepted (ET)
Aug 24, 2018 · 2:58 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000945989
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 23, 2018 | M | 3,000 | $3.65 | A | 3,000 | D | |
| Common StockF1 | Aug 23, 2018 | S | 3,000 | $4.673 | D | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (Right to Buy)F2 | $3.65 | Aug 23, 2018 | M | 3,000 | A | — | Nov 6, 2018 | Common Stock | 3,000 | 0 | D |
Explanation of responses
- F1The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $4.65 to $5.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F2The time based stock options are fully vested and currently exercisable.