- Statement of Changes in Beneficial Ownership (4)
21 8월 2012 - 5:40AM
Edgar (US Regulatory)
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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, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
MCCAULEY DAVID
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2. Issuer Name
and
Ticker or Trading Symbol
LSI INDUSTRIES INC
[
LYTS
]
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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)
President - LSI Graphics
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(Last)
(First)
(Middle)
9260 PLEASANTWOOD AVENUE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
8/16/2012
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(Street)
NORTH CANTON, OH 44720
(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 Shares
(1)
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8/17/2012
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A
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821
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A
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$6.69
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24152
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D
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Common Shares
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14586
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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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Option to Buy
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$6.58
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8/16/2012
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A
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15000
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(3)
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8/15/2022
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Common Shares
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15000
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$0
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15000
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D
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Option to Buy
(4)
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$11.68
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(2)
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11/14/2011
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Common Shares
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2813
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2813
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D
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Option to Buy
(4)
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$9.96
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(3)
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10/27/2014
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Common Shares
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20000
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20000
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D
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Option to Buy
(4)
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$17.60
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(3)
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8/24/2016
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Common Shares
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20000
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20000
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D
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Option to Buy
(4)
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$19.76
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(3)
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8/24/2017
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Common Shares
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25000
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25000
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D
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Option to Buy
(4)
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$8.98
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(3)
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8/22/2018
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Common Shares
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30000
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30000
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D
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Option to Buy
(4)
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$8.4
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(3)
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8/21/2019
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Common Shares
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30000
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30000
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D
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Option to Buy
(4)
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$5.21
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(3)
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8/19/2020
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Common Shares
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15000
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15000
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D
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Explanation of Responses:
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(
1)
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Common Shares held in the LSI Industries Inc. Non-Qualified Deferred Compensation Plan.
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(
2)
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Options granted pursuant to the Company's Incentive Stock Option Plans November 14, 2001. Options vest 25% a year commencing on the first anniversary of the date of grant.
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(
3)
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The options vest at a rate of 25% per year beginning on the first anniversary of the grant date.
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(
4)
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These holdings have been previously reported on Form 4.
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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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MCCAULEY DAVID
9260 PLEASANTWOOD AVENUE
NORTH CANTON, OH 44720
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President - LSI Graphics
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Signatures
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/s/ F. Mark Reuter, Attorney-in-Fact for David McCauley
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8/20/2012
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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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LSI Industries (NASDAQ:LYTS)
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LSI Industries (NASDAQ:LYTS)
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부터 7월(7) 2023 으로 7월(7) 2024
