Statement of Changes in Beneficial Ownership (4)
26 2월 2019 - 8:17AM
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
*
Canavan Michael Patrick
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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 Sales
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(Last)
(First)
(Middle)
4500 LOCKHILL-SELMA, SUITE 150
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3. Date of Earliest Transaction
(MM/DD/YYYY)
8/23/2017
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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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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 (right to buy)
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$3.89
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8/23/2017
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A
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25000
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(1)
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8/22/2027
(2)
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Common Stock
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25000
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$0.00
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25000
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D
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Incentive Stock Option (right to buy)
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$4.06
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10/10/2018
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A
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16670
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(3)
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10/9/2028
(2)
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Common Stock
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16670
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$0.00
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16670
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D
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Non-Qualified Stock Option (right to buy)
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$4.06
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10/10/2018
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A
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33330
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(3)
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10/9/2028
(2)
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Common Stock
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33330
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$0.00
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33330
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D
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Explanation of Responses:
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(1)
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These options vest in equal increments over a three-year period commencing on the first anniversary of the grant date, such that 33.3% of the options will vest on the first, second and third anniversaries of the grant date, provided that the Reporting Person is employed by the Issuer on each date.
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(2)
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The option will expire on the day prior to the tenth anniversary of the grant date, or in the event of the Reporting Person's termination of service as an employee, on such earlier date.
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(3)
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These options vest in equal increments over a three-year period commencing on the first anniversary of the grant date, such that 33.3% of the options will vest on the first, second and third anniversaries of the grant date, provided that the Reporting Person is employed by the Issuer on each date.
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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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Canavan Michael Patrick
4500 LOCKHILL-SELMA, SUITE 150
SAN ANTONIO, TX 78249
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Vice President of Sales
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Signatures
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/s/ Michael Canavan
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2/25/2019
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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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