UNIQUE FABRICATING, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 19 rows, 19 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-06-11: Reporting owner Cain Byrd Douglas III; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2021-06-11: Reporting owner Loftus Brian P; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2021-05-04: Reporting owner Cain Byrd Douglas III; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2021-05-04: Reporting owner Loftus Brian P; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-06-11 | Cain Byrd Douglas III Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,751 316,055 owned after | $3.31 exercise price | 2021-06-15 | |
| 2021-06-11 | Loftus Brian P Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,385 68,168 owned after | $3.31 exercise price | 2021-06-15 | |
| 2021-05-04 | Cain Byrd Douglas III Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,304 298,304 owned after | $4.51 exercise price | 2021-05-06 | |
| 2021-05-04 | Loftus Brian P Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,783 57,783 owned after | $4.51 | 2021-05-06 | |
| 2020-04-06 | Loftus Brian P Officer (Chief Financial Officer) | 4 | 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 | $2.36 exercise price | 2020-04-15 | |
| 2020-04-06 | Loftus Brian P Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 50,000 owned after | $2.36 exercise price | 2020-04-15 | |
| 2019-10-07 holding as of filing | Cain Byrd Douglas III Officer (President and CEO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $2.89 exercise price | 2019-10-07 | ||
| 2019-10-07 holding as of filing | Cain Byrd Douglas III Officer (President and CEO) | 3 | Stock Option (Right to Buy). Derivative · Direct | Holding | $2.89 exercise price | 2019-10-07 | ||
| 2019-06-11 | Korth Kim Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 36,000 owned after | $2.93 exercise price | 2019-06-11 | |
| 2016-02-23 holding as of filing | Baum Richard L Jr Director | 4 | Stock Option (Right to Buy) Derivative · Direct | Holding | 7,500 owned after | $12.50 exercise price | 2016-02-23 | |
| 2015-09-21 | Peninsula Fund V Limited Partnership 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Indirect · See footnote 4. | J Other acquisition or disposition (describe transaction) | +7,500 7,500 owned after | $12.50 exercise price | 2015-09-23 | |
| 2015-08-17 | Korth Kim Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $12.50 exercise price | 2015-08-19 | |
| 2015-08-17 | Cooke William Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $12.50 exercise price | 2015-08-19 | |
| 2015-08-17 | Weinhardt John Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 45,000 owned after | $12.50 exercise price | 2015-08-19 | |
| 2015-08-17 | Tekiele Thomas Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $12.50 exercise price | 2015-08-19 | |
| 2015-08-17 | Illikman James Albert Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $12.50 exercise price | 2015-08-19 | |
| 2015-08-17 | Baum Richard L Jr Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $12.50 exercise price | 2015-08-19 | |
| 2015-08-17 | Frascoia Paul Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $12.50 exercise price | 2015-08-19 | |
| 2015-08-17 | Viola Donn J Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $12.50 exercise price | 2015-08-19 |