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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to purchase) | $ 15.01 | 03/14/2016 | A | 50,000 | (4) | 03/14/2026 | Common Stock | 50,000 | $ 0 | 50,000 | D | ||||
Restricted Stock Unit | (5) | 03/14/2016 | A | 451 | (6) | (6) | Common Stock | 451 | $ 0 | 451 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Woods Gregory A 3 MONKS WAY MEDFIELD, MA 02052 |
X | CHIEF EXECUTIVE OFFICER |
/s/ Margaret V. Boericke, attorney-in-fact for Gregory Woods | 03/16/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Shares issued in settlement of performance based stock units earned on March 14, 2016. Shares are fully vested when earned. |
(2) | Includes 906 shares acquired under the Astro-Med, Inc. Employee Stock Purchase Plan in January 2016. |
(3) | Restricted stock award made to the reporting person under the reporting person's Equity Incentive Award Agreement with the issuer, which vest as follows: (i) 1,008 shares vest on the first anniversary of the grant date, (ii) 1,008 shares vest on the second anniversary of the grant date, (iii) 1,007 shares vest on the third anniversary of the grant date, and (iv) 1,007 shares vest on the fourth anniversary of the grant date. |
(4) | The option vests in four equal annual installments commencing on the one year anniversary of the grant date. |
(5) | Each restricted stock unit represents a contingent right to receive one share of ALOT common stock. |
(6) | The restricted stock units vest in three equal annual installments beginning March 14, 2017. |