SOCKET MOBILE, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 12 rows in 2022. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2022-11-04: Reporting owner BASS CHARLIE; Form 4; Security Common stock option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2022-08-03: Reporting owner DUNLAP DAVID W; Form 4; Security Common stock option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2022-08-03: Reporting owner Weinstein Laura; Form 4; Security Common stock option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2022-07-29: Reporting owner BASS CHARLIE; Form 4; Security Common stock option; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2022-11-04 | BASS CHARLIE Director, 10% Owner | 4 | Common stock option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −35,000 153,500 owned after | $1.08 exercise price | $1.78 | 2022-11-07 |
| 2022-08-03 | DUNLAP DAVID W Director | 4 | Common stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 111,500 owned after | $2.95 exercise price | $2.95 | 2022-08-03 |
| 2022-08-03 | Weinstein Laura Director | 4 | Common stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 7,000 owned after | $2.95 exercise price | $2.95 | 2022-08-03 |
| 2022-07-29 | BASS CHARLIE Director, 10% Owner | 4 | Common stock option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 188,500 owned after | $1.08 exercise price | $2.83 | 2022-08-01 |
| 2022-06-15 | BASS CHARLIE Director, 10% Owner | 4 | Common stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,000 208,500 owned after | $3.05 exercise price | $3.05 | 2022-06-16 |
| 2022-06-15 | PARNELL WILLIAM L. JR Director | 4 | Common stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 46,000 owned after | $3.05 exercise price | $3.05 | 2022-06-16 |
| 2022-06-15 | MacDonald Brenton Earl Director | 4 | Common stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 49,000 owned after | $3.05 exercise price | $3.05 | 2022-06-16 |
| 2022-06-15 | Lazarev Ivan Director | 4 | Common stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 21,000 owned after | $3.05 exercise price | $3.05 | 2022-06-16 |
| 2022-06-15 | DUNLAP DAVID W Director | 4 | Common stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 109,500 owned after | $3.05 exercise price | $3.05 | 2022-06-16 |
| 2022-04-22 | BASS CHARLIE Director, 10% Owner | 4 | Common stock option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 189,250 owned after | $2.22 exercise price | $4.08 | 2022-04-25 |
| 2022-01-06 | MILLS KEVIN J Director, Officer (Chief Executive Officer) | 4 | Common stock option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −7,500 194,881 owned after | $1.04 exercise price | $4.07 | 2022-01-10 |
| 2022-01-04 | MILLS KEVIN J Director, Officer (Chief Executive Officer) | 4 | Common stock option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −6,000 203,579 owned after | $1.08 exercise price | $4.28 | 2022-01-06 |
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