SEC Form 4 · accession 0001437749-17-006503
SUPERIOR GROUP OF COMPANIES, INC. · SGC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan/fl Schwartz
Director
Period of report
Apr 10, 2017
Accepted (ET)
Apr 12, 2017 · 3:02 pm EDT
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 StockF1 | Apr 10, 2017 | M | 17,714 | $5.645 | A | 236,717 | D | |
| Common StockF2 | Apr 10, 2017 | M | 13,586 | $7.36 | A | 250,303 | D | |
| Common StockF3 | Apr 10, 2017 | F | 10,406 | $19.22 | D | 239,897 | D | |
| Common StockF4 | Apr 10, 2017 | M | 24,286 | $5.645 | A | 264,183 | D | |
| Common StockF5 | Apr 10, 2017 | D | 7,133 | $19.22 | D | 257,050 | D | |
| Common StockF6 | Apr 10, 2017 | F | 4,692 | $19.22 | D | 252,358 | D | |
| Common StockF4 | Apr 10, 2017 | M | 20,414 | $7.36 | A | 272,772 | D | |
| Common StockF5 | Apr 10, 2017 | D | 7,818 | $19.22 | D | 264,954 | D | |
| Common StockF6 | Apr 10, 2017 | F | 3,446 | $19.22 | D | 261,508 | D | |
| Common StockF4 | Apr 10, 2017 | M | 8,884 | $16.35 | A | 270,392 | D | |
| Common StockF5 | Apr 10, 2017 | D | 7,558 | $19.22 | D | 262,834 | D | |
| Common StockF6 | Apr 10, 2017 | F | 363 | $19.22 | D | 262,471 | 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)F7 | $5.645 | Apr 10, 2017 | M | 17,714 | D | Feb 1, 2013 | Feb 7, 2018 | Common Stock | 17,714 | 0 | D |
| Stock Options (Right to Buy)F7 | $7.36 | Apr 10, 2017 | M | 13,586 | D | Feb 7, 2014 | Feb 7, 2019 | Common Stock | 13,586 | 0 | D |
| Stock Appreciation RightsF8 | $5.645 | Apr 10, 2017 | M | 24,286 | D | Feb 1, 2013 | Feb 1, 2018 | Common Stock | 24,286 | 0 | D |
| Stock Appreciation RightsF8 | $7.36 | Apr 10, 2017 | M | 20,414 | D | Feb 7, 2014 | Feb 7, 2019 | Common Stock | 20,414 | 0 | D |
| Stock Appreciation RightsF8 | $16.35 | Apr 10, 2017 | M | 8,884 | D | Feb 5, 2016 | Feb 5, 2021 | Common Stock | 8,884 | 0 | D |
Explanation of responses
- F1Shares acquired upon exercise of stock options.
- F2Shares acquired upon exercise of stock options.
- F3These shares were delivered to the Issuer to satisfy the exercise price of 31,300 stock options.
- F4Shares acquired upon the exercise of stock-settled stock appreciation rights.
- F5Shares disposed of to the issuer to cover the exercise price of the exercised stock-settled stock appreciation rights.
- F6Shares withheld by the issuer to cover applicable withholding taxes related to the exercise of the stock-settled stock appreciation rights.
- F7These options are fully vested on date of grant.
- F8These stock appreciation rights are fully vested on date of grant.