GlobalSCAPE, Inc Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 43 rows in 2020. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-08-28: Reporting owner 210/GSB Acquisition Partners, LLC | Alpert Robert H | CCW/LAW Holdings, LLC | Webb C Clark | 210 Capital, LLC | COVENANT RHA PARTNERS, L.P. | RHA Investments, Inc.; Form 4; Security Stock option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2020-08-28: Reporting owner Young Karen J.; Form 4; Security Incentive Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2020-08-28: Reporting owner Young Karen J.; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2020-08-28: Reporting owner Young Karen J.; Form 4; Security Incentive Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-08-28 | 210/GSB Acquisition Partners, LLC | Alpert Robert H | CCW/LAW Holdings, LLC | Webb C Clark | 210 Capital, LLC | COVENANT RHA PARTNERS, L.P. | RHA Investments, Inc. 10% Owner | Director, Officer (Chief Executive Officer), 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Stock option (right to buy) Derivative · Indirect · See footnotes | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −300,000 0 owned after | $8.93 exercise price | 2020-09-01 | |
| 2020-08-28 | Young Karen J. Officer (Chief Financial Officer) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,667 0 owned after | $3.73 exercise price | 2020-08-28 | |
| 2020-08-28 | Young Karen J. Officer (Chief Financial Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,700 0 owned after | $3.59 exercise price | 2020-08-28 | |
| 2020-08-28 | Young Karen J. Officer (Chief Financial Officer) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −62,759 0 owned after | $3.59 exercise price | 2020-08-28 | |
| 2020-08-28 | Mello David Christopher Officer (EVP of Technical Services) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −25,005 0 owned after | $3.97 exercise price | 2020-08-28 | |
| 2020-08-28 | Mello David Christopher Officer (EVP of Technical Services) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −24,809 0 owned after | $4.06 exercise price | 2020-08-28 | |
| 2020-08-28 | Mello David Christopher Officer (EVP of Technical Services) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −25,193 0 owned after | $4.06 exercise price | 2020-08-28 | |
| 2020-08-28 | Mello David Christopher Officer (EVP of Technical Services) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −14,641 0 owned after | $6.83 exercise price | 2020-08-28 | |
| 2020-08-28 | Mello David Christopher Officer (EVP of Technical Services) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −135,359 0 owned after | $6.83 exercise price | 2020-08-28 | |
| 2020-08-28 | HOOD MARK C Officer (Chief Operating Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −48,855 0 owned after | $3.91 exercise price | 2020-08-28 | |
| 2020-08-28 | HOOD MARK C Officer (Chief Operating Officer) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −51,150 0 owned after | $3.91 exercise price | 2020-08-28 | |
| 2020-08-28 | HOOD MARK C Officer (Chief Operating Officer) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −11,299 0 owned after | $8.85 exercise price | 2020-08-28 | |
| 2020-08-28 | HOOD MARK C Officer (Chief Operating Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −38,701 0 owned after | $8.85 exercise price | 2020-08-28 | |
| 2020-08-28 | HOOD MARK C Officer (Chief Operating Officer) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,020 0 owned after | $9.98 exercise price | 2020-08-28 | |
| 2020-08-28 | HOOD MARK C Officer (Chief Operating Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −89,980 0 owned after | $9.98 exercise price | 2020-08-28 | |
| 2020-08-28 | Canavan Michael Patrick Officer (EVP of Sales & Marketing) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,561 0 owned after | $5.28 exercise price | 2020-08-28 | |
| 2020-08-28 | Canavan Michael Patrick Officer (EVP of Sales & Marketing) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −52,844 0 owned after | $5.28 exercise price | 2020-08-28 | |
| 2020-08-28 | Canavan Michael Patrick Officer (EVP of Sales & Marketing) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −25,000 0 owned after | $3.89 exercise price | 2020-08-28 | |
| 2020-08-28 | Canavan Michael Patrick Officer (EVP of Sales & Marketing) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −16,670 0 owned after | $4.06 exercise price | 2020-08-28 | |
| 2020-08-28 | Canavan Michael Patrick Officer (EVP of Sales & Marketing) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −33,330 0 owned after | $4.06 exercise price | 2020-08-28 | |
| 2020-08-28 | Canavan Michael Patrick Officer (EVP of Sales & Marketing) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −14,641 0 owned after | $6.83 exercise price | 2020-08-28 | |
| 2020-08-28 | Canavan Michael Patrick Officer (EVP of Sales & Marketing) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −135,359 0 owned after | $6.83 exercise price | 2020-08-28 | |
| 2020-02-21 | Young Karen J. Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −931 83,459 owned after | $3.59 exercise price | 2020-02-25 | |
| 2020-02-20 | Young Karen J. Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20 0 owned after | $2.40 exercise price | 2020-02-20 | |
| 2020-02-20 | Young Karen J. Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,237 0 owned after | $3.52 exercise price | 2020-02-20 | |
| 2020-02-20 | Young Karen J. Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,333 1,667 owned after | $3.73 exercise price | 2020-02-20 | |
| 2020-02-20 | Young Karen J. Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,610 84,390 owned after | $3.59 exercise price | 2020-02-20 | |
| 2020-02-19 | Young Karen J. Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,523 20 owned after | $2.40 exercise price | 2020-02-20 | |
| 2020-02-19 | Young Karen J. Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −63 5,237 owned after | $3.52 exercise price | 2020-02-20 | |
| 2020-02-19 | Canavan Michael Patrick Officer (EVP of Sales & Marketing) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,846 59,405 owned after | $5.28 exercise price | 2020-02-19 | |
| 2020-02-18 | Young Karen J. Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,788 4,543 owned after | $2.40 exercise price | 2020-02-20 | |
| 2020-02-18 | Canavan Michael Patrick Officer (EVP of Sales & Marketing) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,213 68,251 owned after | $5.28 exercise price | 2020-02-19 | |
| 2020-02-14 | Canavan Michael Patrick Officer (EVP of Sales & Marketing) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,536 69,464 owned after | $5.28 exercise price | 2020-02-19 | |
| 2020-02-14 | Young Karen J. Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,269 8,331 owned after | $2.40 exercise price | 2020-02-18 | |
| 2020-02-13 | Young Karen J. Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −400 9,600 owned after | $2.40 exercise price | 2020-02-18 | |
| 2020-02-07 | Mello David Christopher Officer (EVP of Technical Services) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −49,995 25,005 owned after | $3.97 exercise price | 2020-02-11 | |
| 2020-02-07 | Mello David Christopher Officer (EVP of Technical Services) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −24,811 25,193 owned after | $4.06 exercise price | 2020-02-11 | |
| 2020-02-07 | Mello David Christopher Officer (EVP of Technical Services) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −187 24,809 owned after | $4.06 exercise price | 2020-02-11 | |
| 2020-02-06 | HOOD MARK C Officer (Chief Operating Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,086 48,855 owned after | $3.91 exercise price | 2020-02-06 | |
| 2020-02-06 | HOOD MARK C Officer (Chief Operating Officer) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,575 51,150 owned after | $3.91 exercise price | 2020-02-06 | |
| 2020-02-05 | HOOD MARK C Officer (Chief Operating Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −300 54,941 owned after | $3.91 exercise price | 2020-02-06 | |
| 2020-02-04 | HOOD MARK C Officer (Chief Operating Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,034 55,241 owned after | $3.91 exercise price | 2020-02-06 | |
| 2020-01-02 | HOOD MARK C Officer (Chief Operating Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $9.98 exercise price | 2020-01-02 |