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 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-08-23: Reporting owner Canavan Michael Patrick; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-07-18: Reporting owner Canavan Michael Patrick; Form 3; Security Stock Option; Transaction Holding.
- 2017-05-26: Reporting owner MANN DAVID L; Form 4; Security Stock Option (right to buy); Transaction Holding.
- 2017-05-26: 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 |
|---|---|---|---|---|---|---|---|---|
| 2017-08-23 | Canavan Michael Patrick Officer (Vice President of Sales) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $3.89 exercise price | 2019-02-25 | |
| 2017-07-18 holding as of filing | Canavan Michael Patrick Officer (VP--Global Enterprise Services) | 3 | Stock Option Derivative · Direct | Holding | $5.28 exercise price | 2017-07-18 | ||
| 2017-05-26 holding as of filing | MANN DAVID L Director | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 20,000 owned after | $2.00 exercise price | 2017-05-26 | |
| 2017-05-26 holding as of filing | BROWN THOMAS W Director | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 20,000 owned after | $2.00 exercise price | 2017-05-26 | |
| 2017-05-25 | 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 | $3.10 exercise price | 2017-05-26 | |
| 2017-05-25 | 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 | $3.10 exercise price | 2017-05-26 | |
| 2017-05-15 holding as of filing | Hoffer Gregory T Officer (Vice President of Engineering) | 4 | Incentive Stock Option Derivative · Direct | Holding | 100,000 owned after | $3.52 exercise price | 2017-05-15 | |
| 2017-05-15 holding as of filing | Hoffer Gregory T Officer (Vice President of Engineering) | 4 | Incentive Stock Option Derivative · Direct | Holding | 111,900 owned after | $3.73 exercise price | 2017-05-15 | |
| 2017-05-15 holding as of filing | Hoffer Gregory T Officer (Vice President of Engineering) | 4 | Non-Qualified Stock Option Derivative · Direct | Holding | 135,000 owned after | $3.73 exercise price | 2017-05-15 | |
| 2017-05-12 | Hoffer Gregory T Officer (Vice President of Engineering) | 4 | Non-Qualified Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 0 owned after | $2.35 exercise price | 2017-05-15 | |
| 2017-05-10 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 | 2017-05-10 | |
| 2017-05-10 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 | 2017-05-10 | |
| 2017-05-10 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 | 2017-05-10 | |
| 2017-05-10 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 | 2017-05-10 | |
| 2017-02-23 holding as of filing | BURKE DANIEL L Officer (VP of Worldwide Sales) | 3 | Stock Option Derivative · Direct | Holding | $1.55 exercise price | 2017-02-23 | ||
| 2017-02-23 holding as of filing | BURKE DANIEL L Officer (VP of Worldwide Sales) | 3 | Stock Option Derivative · Direct | Holding | $3.20 exercise price | 2017-02-23 | ||
| 2017-02-23 holding as of filing | BURKE DANIEL L Officer (VP of Worldwide Sales) | 3 | Stock Option Derivative · Direct | Holding | $3.52 exercise price | 2017-02-23 | ||
| 2017-02-23 holding as of filing | BURKE DANIEL L Officer (VP of Worldwide Sales) | 3 | Stock Option Derivative · Direct | Holding | $3.40 exercise price | 2017-02-23 | ||
| 2017-02-13 holding as of filing | Merkulov Petr Officer (VP of Product Strategy) | 3 | Stock Option Derivative · Direct | Holding | $3.28 exercise price | 2017-02-13 | ||
| 2017-02-13 holding as of filing | Merkulov Petr Officer (VP of Product Strategy) | 3 | Stock Option Derivative · Direct | Holding | $3.73 exercise price | 2017-02-13 | ||
| 2017-02-13 holding as of filing | Merkulov Petr Officer (VP of Product Strategy) | 4 | Non-Qualified Stock Option Derivative · Direct | Holding | 100,000 owned after | $3.28 exercise price | 2017-02-13 | |
| 2017-02-10 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 | 2017-02-10 | |
| 2017-02-10 holding as of filing | Hoffer Gregory T Officer (Vice President of Engineering) | 4 | Incentive Stock Option Derivative · Direct | Holding | 150,000 owned after | $3.52 exercise price | 2017-02-10 | |
| 2017-02-10 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 | 2017-02-10 | |
| 2017-02-10 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 | 2017-02-10 | |
| 2017-02-10 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 | 2017-02-10 | |
| 2017-02-10 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 | 2017-02-10 | |
| 2017-02-10 holding as of filing | Goulet Matthew Craig Director, Officer (President and CEO) | 4 | Non-Qualified Stock Option Derivative · Direct | Holding | 375,000 owned after | $3.53 exercise price | 2017-02-10 | |
| 2017-02-10 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 | 2017-02-10 | |
| 2017-02-10 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 | 2017-02-10 | |
| 2017-02-10 holding as of filing | ALBRECHT JAMES W JR Officer (Chief Financial Officer) | 4 | Incentive Stock Option Derivative · Direct | Holding | 325,000 owned after | $3.52 exercise price | 2017-02-10 | |
| 2017-02-08 | Merkulov Petr Officer (VP of Product Strategy) | 4 | Incentive Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 135,000 owned after | $3.73 exercise price | 2017-02-13 | |
| 2017-02-08 | 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) | +11,900 161,900 owned after | $3.73 exercise price | 2017-02-10 | |
| 2017-02-08 | Hoffer Gregory T Officer (Vice President of Engineering) | 4 | Non-Qualified Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +23,100 185,000 owned after | $3.73 exercise price | 2017-02-10 | |
| 2017-02-08 | 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) | +26,809 401,809 owned after | $3.73 exercise price | 2017-02-10 | |
| 2017-02-08 | 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) | +173,191 575,000 owned after | $3.73 exercise price | 2017-02-10 | |
| 2017-02-08 | 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) | +26,809 351,809 owned after | $3.73 exercise price | 2017-02-10 | |
| 2017-02-08 | ALBRECHT JAMES W JR Officer (Chief Financial Officer) | 4 | Non-Qualified Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +73,191 425,000 owned after | $3.73 exercise price | 2017-02-10 | |
| 2017-01-30 | Morgan Frank M 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 | $3.10 exercise price | 2017-02-13 | |
| 2017-01-09 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 | 2017-01-09 | |
| 2017-01-09 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 | 2017-01-09 | |
| 2017-01-09 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 | 2017-01-09 | |
| 2017-01-09 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 | 2017-01-09 |