SEC Form 4 · accession 0001437749-16-042976
SUPERIOR GROUP OF COMPANIES, INC. · SGC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan/fl Schwartz
Officer — President · Director
Period of report
Dec 2, 2016
Accepted (ET)
Dec 6, 2016 · 11:30 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000095574
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF4 | Dec 2, 2016 | M | 15,208 | $6.575 | A | 214,506 | D | |
| Common StockF5 | Dec 2, 2016 | F | 5,163 | $19.37 | D | 209,343 | D | |
| Common StockF1 | Dec 2, 2016 | M | 18,792 | $6.575 | A | 228,135 | D | |
| Common StockF2 | Dec 2, 2016 | D | 6,379 | $19.37 | D | 221,756 | D | |
| Common StockF3 | Dec 2, 2016 | F | 3,395 | $19.37 | D | 218,361 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F6 | $6.575 | Dec 2, 2016 | M | 15,208 | D | Feb 3, 2012 | Feb 3, 2017 | Common Stock | 15,208 | 0 | D |
| Stock Appreciation RightsF7 | $6.575 | Dec 2, 2016 | M | 18,792 | D | Feb 3, 2012 | Feb 3, 2017 | Common Stock | 18,792 | 0 | D |
Explanation of responses
- F1Shares acquired upon the exercise of stock-settled stock appreciation rights.
- F2Shares disposed of to the issuer to cover the exercise price of the exercised stock-settled stock appreciation rights.
- F3Shares withheld by the issuer to cover applicable withholding taxes related to the exercise of the stock-settled stock appreciation rights.
- F4Shares acquired upon the exercise of stock options.
- F5Shares withheld by the issuer to cover applicable withholding taxes related to the exercise of stock options.
- F6These options are fully vested on date of grant.
- F7These stock appreciation rights are fully vested on date of grant.