Statement of Changes in Beneficial Ownership (4)
16 5월 2017 - 6:16AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Hoffer Gregory T
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2. Issuer Name
and
Ticker or Trading Symbol
GLOBALSCAPE INC
[
GSB
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Vice President of Engineering
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(Last)
(First)
(Middle)
4500 LOCKHILL SELMA, STE 150
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/12/2017
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(Street)
SAN ANTONIO, TX 78249
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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5/12/2017
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M
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50000
(2)
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A
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$2.35
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50100
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D
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Common Stock
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5/12/2017
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S
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50000
(3)
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D
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$4.14
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100
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Non-Qualified Stock Option
(2)
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$2.35
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5/12/2017
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M
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50000
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5/12/2017
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1/2/2024
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Common Stock
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50000
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$0.00
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0
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D
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Incentive Stock Option
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$3.52
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(1)
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2/1/2026
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Common Stock
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100000
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100000
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D
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Incentive Stock Option
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$3.73
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(1)
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2/8/2027
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Common Stock
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11900
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111900
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D
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Non-Qualified Stock Option
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$3.73
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(1)
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2/8/2027
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Common Stock
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23100
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135000
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D
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Explanation of Responses:
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(1)
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1/3 of the total shares under this option vest and are available for purchase on each annual anniversary date of the grant date of the option.
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(2)
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Exercise of option to purchase common stock. Includes shares which were sold to pay the exercise price, to cover withholding taxes and to pay broker fees and commissions pursuant to a broker-assisted cashless exercise.
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(3)
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Price reflected is a weighted-average sales price for shares sold. The shares were sold in multiple transactions and the range of sales prices for the transactions reported was $4.07 to $4.22. The reporting person undertakes to provide the issuer, any security holder of the issuer or any staff member of the Securities and Exchange Commission, upon request, information regarding the number of shares sold at each separate price.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Hoffer Gregory T
4500 LOCKHILL SELMA
STE 150
SAN ANTONIO, TX 78249
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Vice President of Engineering
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Signatures
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/s/ Gregory T. Hoffer
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5/15/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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