GlobalSCAPE, Inc Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 48 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-12-19: Reporting owner MANN DAVID L; Form 4; Security Stock Option (right to buy); Transaction Holding.
- 2016-12-19: Reporting owner MANN DAVID L; Form 4; Security Stock Option (right to buy); Transaction Holding.
- 2016-12-16: Reporting owner MANN DAVID L; Form 4; Security Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-12-02: Reporting owner BROWN THOMAS W; Form 4; Security Stock Option (right to buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-12-19 holding as of filing | MANN DAVID L Director | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 40,000 owned after | $2.00 exercise price | 2016-12-19 | |
| 2016-12-19 holding as of filing | MANN DAVID L Director | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 40,000 owned after | $3.10 exercise price | 2016-12-19 | |
| 2016-12-16 | MANN DAVID L Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 0 owned after | $2.80 exercise price | 2016-12-19 | |
| 2016-12-02 holding as of filing | BROWN THOMAS W Director | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 40,000 owned after | $2.00 exercise price | 2016-12-02 | |
| 2016-12-02 holding as of filing | BROWN THOMAS W Director | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 40,000 owned after | $3.10 exercise price | 2016-12-02 | |
| 2016-11-30 | BROWN THOMAS W Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 0 owned after | $2.80 exercise price | 2016-12-02 | |
| 2016-06-02 | Goulet Matthew Craig Director, Officer (President and CEO) | 4 | Non-Qualified Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 425,000 owned after | $3.50 exercise price | 2016-06-06 | |
| 2016-05-20 holding as of filing | Goulet Matthew Craig Director, Officer (President and CEO) | 4 | Non-Qualified Stock Option Derivative · Direct | Holding | 75,000 owned after | $1.55 exercise price | 2016-05-20 | |
| 2016-05-20 holding as of filing | Goulet Matthew Craig Director, Officer (President and CEO) | 4 | Non-Qualified Stock Option Derivative · Direct | Holding | 100,000 owned after | $2.35 exercise price | 2016-05-20 | |
| 2016-05-20 holding as of filing | Goulet Matthew Craig Director, Officer (President and CEO) | 4 | Non-Qualified Stock Option Derivative · Direct | Holding | 175,000 owned after | $3.20 exercise price | 2016-05-20 | |
| 2016-05-20 holding as of filing | Goulet Matthew Craig Director, Officer (President and CEO) | 4 | Incentive Stock Option Derivative · Direct | Holding | 275,000 owned after | $3.52 exercise price | 2016-05-20 | |
| 2016-05-20 holding as of filing | Goulet Matthew Craig Director, Officer (President and CEO) | 4 | Incentive Stock Option Derivative · Direct | Holding | 425,000 owned after | $3.53 exercise price | 2016-05-20 | |
| 2016-05-16 | Goulet Matthew Craig Director, Officer (President and CEO) | 4 | Non-Qualified Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 375,000 owned after | $3.53 exercise price | 2016-06-06 | |
| 2016-05-16 | Goulet Matthew Craig Director, Officer (President and CEO) | 4/A | Non-Qualified Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 375,000 owned after | $3.53 exercise price | 2016-06-03 | |
| 2016-05-16 | Goulet Matthew Craig Director, Officer (President and CEO) | 4 | Invcentive Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 425,000 owned after | $3.53 exercise price | 2016-05-17 | |
| 2016-05-06 holding as of filing | MANN DAVID L Director | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 60,000 owned after | $2.00 exercise price | 2016-05-06 | |
| 2016-05-06 holding as of filing | MANN DAVID L Director | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 60,000 owned after | $3.10 exercise price | 2016-05-06 | |
| 2016-05-06 holding as of filing | MANN DAVID L Director | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 60,000 owned after | $2.80 exercise price | 2016-05-06 | |
| 2016-05-06 holding as of filing | Morgan Frank M Director | 4 | Stock Option (right to buy Derivative · Direct | Holding | 20,000 owned after | $3.10 exercise price | 2016-05-06 | |
| 2016-05-06 holding as of filing | BROWN THOMAS W Director | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 60,000 owned after | $2.00 exercise price | 2016-05-06 | |
| 2016-05-06 holding as of filing | BROWN THOMAS W Director | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 60,000 owned after | $3.10 exercise price | 2016-05-06 | |
| 2016-05-06 holding as of filing | BROWN THOMAS W Director | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 60,000 owned after | $2.80 exercise price | 2016-05-06 | |
| 2016-02-04 holding as of filing | Hoffer Gregory T Officer (Vice President of Engineering) | 4 | Non-Qualified Stock Option Derivative · Direct | Holding | 50,000 owned after | $2.35 exercise price | 2016-02-04 | |
| 2016-02-04 holding as of filing | Goulet Matthew Craig Officer (COO & Senior VP, Sales & Mktg) | 4 | Non-Qualified Stock Option Derivative · Direct | Holding | 175,000 owned after | $3.20 exercise price | 2016-02-04 | |
| 2016-02-04 holding as of filing | Goulet Matthew Craig Officer (COO & Senior VP, Sales & Mktg) | 4 | Non-Qualified Stock Option Derivative · Direct | Holding | 75,000 owned after | $1.55 exercise price | 2016-02-04 | |
| 2016-02-04 holding as of filing | Goulet Matthew Craig Officer (COO & Senior VP, Sales & Mktg) | 4 | Non-Qualified Stock Option Derivative · Direct | Holding | 100,000 owned after | $2.35 exercise price | 2016-02-04 | |
| 2016-02-04 holding as of filing | Bindseil James Lyle Director, Officer (President and CEO) | 4 | Non-Qualified Stock Option Derivative · Direct | Holding | 325,000 owned after | $3.20 exercise price | 2016-02-04 | |
| 2016-02-04 holding as of filing | Bindseil James Lyle Director, Officer (President and CEO) | 4 | Non-Qualified Stock Option Derivative · Direct | Holding | 225,000 owned after | $2.35 exercise price | 2016-02-04 | |
| 2016-02-04 holding as of filing | Bindseil James Lyle Director, Officer (President and CEO) | 4 | Non-Qualified Stock Option Derivative · Direct | Holding | 125,000 owned after | $1.70 exercise price | 2016-02-04 | |
| 2016-02-04 holding as of filing | Bindseil James Lyle Director, Officer (President and CEO) | 4 | Non-Qualified Stock Option Derivative · Direct | Holding | 200,000 owned after | $1.65 exercise price | 2016-02-04 | |
| 2016-02-04 holding as of filing | Bindseil James Lyle Director, Officer (President and CEO) | 4 | Non-Qualified Stock Option Derivative · Direct | Holding | 85,000 owned after | $2.10 exercise price | 2016-02-04 | |
| 2016-02-04 holding as of filing | Bindseil James Lyle Director, Officer (President and CEO) | 4 | Non-Qualified Stock Option Derivative · Direct | Holding | 75,000 owned after | $2.38 exercise price | 2016-02-04 | |
| 2016-02-04 holding as of filing | Bindseil James Lyle Director, Officer (President and CEO) | 4 | Non-Qualified Stock Option Derivative · Direct | Holding | 250,000 owned after | $2.32 exercise price | 2016-02-04 | |
| 2016-02-04 holding as of filing | ALBRECHT JAMES W JR Officer (Chief Financial Officer) | 4 | Non-Qualified Stock Option Derivative · Direct | Holding | 225,000 owned after | $3.20 exercise price | 2016-02-04 | |
| 2016-02-04 holding as of filing | ALBRECHT JAMES W JR Officer (Chief Financial Officer) | 4 | Non-Qualified Stock Option Derivative · Direct | Holding | 150,000 owned after | $2.10 exercise price | 2016-02-04 | |
| 2016-02-03 holding as of filing | MANN DAVID L Director | 4/A | Stock Option (right to buy) Derivative · Direct | Holding | 60,000 owned after | $2.00 exercise price | 2016-02-03 | |
| 2016-02-03 holding as of filing | MANN DAVID L Director | 4/A | Stock Option (right to buy) Derivative · Direct | Holding | 60,000 owned after | $3.10 exercise price | 2016-02-03 | |
| 2016-02-03 holding as of filing | MANN DAVID L Director | 4/A | Stock Option (right to buy) Derivative · Direct | Holding | 60,000 owned after | $2.80 exercise price | 2016-02-03 | |
| 2016-02-02 holding as of filing | MANN DAVID L Director | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 60,000 owned after | $2.00 exercise price | 2016-02-02 | |
| 2016-02-02 holding as of filing | MANN DAVID L Director | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 60,000 owned after | $3.10 exercise price | 2016-02-02 | |
| 2016-02-02 holding as of filing | MANN DAVID L Director | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 60,000 owned after | $2.80 exercise price | 2016-02-02 | |
| 2016-02-01 | Goulet Matthew Craig Director, Officer (President and CEO) | 4 | Incentive Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 275,000 owned after | $3.52 exercise price | 2016-06-06 | |
| 2016-02-01 | Goulet Matthew Craig Director, Officer (President and CEO) | 4/A | Incentive Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 275,000 owned after | $3.52 exercise price | 2016-06-03 | |
| 2016-02-01 | Goulet Matthew Craig Director, Officer (President and CEO) | 4 | Incentive Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 275,000 owned after | $3.52 exercise price | 2016-05-17 | |
| 2016-02-01 | Hoffer Gregory T Officer (Vice President of Engineering) | 4 | Incentive Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 150,000 owned after | $3.52 exercise price | 2016-02-04 | |
| 2016-02-01 | Goulet Matthew Craig Officer (COO & Senior VP, Sales & Mktg) | 4 | Incentive Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 275,000 owned after | $3.52 exercise price | 2016-02-04 | |
| 2016-02-01 | Bindseil James Lyle Director, Officer (President and CEO) | 4 | Incentive Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 425,000 owned after | $3.52 exercise price | 2016-02-04 | |
| 2016-02-01 | ALBRECHT JAMES W JR Officer (Chief Financial Officer) | 4 | Incentive Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 325,000 owned after | $3.52 exercise price | 2016-02-04 |