SCKT

SEC source: 0000944075-23-000002 · primary_doc.xml · nonDerivative · entry 1

MILLS KEVIN J · CIK 0001192160 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,864

SEC source: 0000944075-23-000001 · primary_doc.xml · derivative · entry 2

MILLS KEVIN J · CIK 0001192160 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 242,200

Underlying: Common · 8,129 shares

Expires 2023-04-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Monthly vesting

SEC source: 0000944075-23-000001 · primary_doc.xml · nonDerivative · entry 1

MILLS KEVIN J · CIK 0001192160 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,714

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000944075-22-000063 · primary_doc.xml · derivative · entry 2

BASS CHARLIE · CIK 0001192161 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,500

Underlying: Common · 35,000 shares

Expires 2022-11-08

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Monthly vesting.

SEC source: 0000944075-22-000063 · primary_doc.xml · nonDerivative · entry 1

BASS CHARLIE · CIK 0001192161 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,193,751

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000944075-22-000054 · primary_doc.xml · derivative · entry 1

DUNLAP DAVID W · CIK 0001192162 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,500

Underlying: Common · 2,000 shares

Expires 2032-08-03

F1 · derivative.exercise_date: Vests monthly over a 23-month period commencing August 3, 2022.

SEC source: 0000944075-22-000053 · primary_doc.xml · derivative · entry 1

Weinstein Laura · CIK 0001941089 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,000

Underlying: Common · 7,000 shares

Expires 2032-08-03

F1 · derivative.exercise_date: Vests monthly over a 23-month period commencing August 3, 2022.

SEC source: 0000944075-22-000051 · primary_doc.xml · derivative · entry 2

BASS CHARLIE · CIK 0001192161 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,500

Underlying: Common · 20,000 shares

Expires 2022-08-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Monthly vesting.

SEC source: 0000944075-22-000051 · primary_doc.xml · nonDerivative · entry 1

BASS CHARLIE · CIK 0001192161 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,158,751

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000944075-22-000044 · primary_doc.xml · derivative · entry 1

BASS CHARLIE · CIK 0001192161 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,500

Underlying: Common · 13,000 shares

Expires 2032-06-15

F1 · derivative.exercise_date: Vests monthly over a 24-month period commencing June 15, 2022.

SEC source: 0000944075-22-000043 · primary_doc.xml · derivative · entry 1

PARNELL WILLIAM L. JR · CIK 0001713605 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,000

Underlying: Common · 8,000 shares

Expires 2032-06-15

F1 · derivative.exercise_date: Vests monthly over a 24-month period commencing June 15, 2022.

SEC source: 0000944075-22-000042 · primary_doc.xml · derivative · entry 1

MacDonald Brenton Earl · CIK 0001677601 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,000

Underlying: Common · 7,000 shares

Expires 2032-06-15

F1 · derivative.exercise_date: Vests monthly over a 24-month period commencing June 15, 2022.

SEC source: 0000944075-22-000041 · primary_doc.xml · derivative · entry 1

Lazarev Ivan · CIK 0001792350 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,000

Underlying: Common · 7,000 shares

Expires 2032-06-15

F1 · derivative.exercise_date: Vests monthly over a 24-month period commencing June 15, 2022.

SEC source: 0000944075-22-000040 · primary_doc.xml · derivative · entry 1

DUNLAP DAVID W · CIK 0001192162 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,500

Underlying: Common · 5,000 shares

Expires 2032-06-15

F1 · derivative.exercise_date: Vests monthly over a 24-month period commencing June 15, 2022.

SEC source: 0000944075-22-000030 · primary_doc.xml · nonDerivative · entry 1

MILLS KEVIN J · CIK 0001192160 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,585

F1 · shares: Vesting of restricted shares of Socket Mobile, Inc. Common Stock is subject to achievement of the milestones within 3 years. Unvested shares will be cancelled after May 3, 2025. Recipient earns 30% of granted shares when 12 trailing months (TTM) EBITDA exceeds $5.0M, and the earned shares will vest on May 3, 2023 or the earned date, whichever date comes later. Recipient earns additional 30% of granted shares when 12 trailing months (TTM) EBITDA exceeds $6.0M, and the earned shares will vest on May 3, 2024 or the earned date, whichever date comes later. Recipient earns the final 40% of granted shares when 12 trailing months (TTM) EBITDA exceeds $7.0M, and the earned shares will vest on May 3, 2025 or the earned date, whichever date comes later.

SEC source: 0000944075-22-000029 · primary_doc.xml · nonDerivative · entry 1

Zhao Lynn · CIK 0001724840 · Director · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,740

F1 · shares: Vesting of restricted shares of Socket Mobile, Inc. Common Stock is subject to achievement of the milestones within 3 years. Unvested shares will be cancelled after May 3, 2025. Recipient earns 30% of granted shares when 12 trailing months (TTM) EBITDA exceeds $5.0M, and the earned shares will vest on May 3, 2023 or the earned date, whichever date comes later. Recipient earns additional 30% of granted shares when 12 trailing months (TTM) EBITDA exceeds $6.0M, and the earned shares will vest on May 3, 2024 or the earned date, whichever date comes later. Recipient earns the final 40% of granted shares when 12 trailing months (TTM) EBITDA exceeds $7.0M, and the earned shares will vest on May 3, 2025 or the earned date, whichever date comes later.

SEC source: 0000944075-22-000028 · primary_doc.xml · nonDerivative · entry 1

OTT LEONARD L · CIK 0001192169 · EVP of Engineering & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,916

F1 · shares: Vesting of restricted shares of Socket Mobile, Inc. Common Stock is subject to achievement of the milestones within 3 years. Unvested shares will be cancelled after May 3, 2025. Recipient earns 30% of granted shares when 12 trailing months (TTM) EBITDA exceeds $5.0M, and the earned shares will vest on May 3, 2023 or the earned date, whichever date comes later. Recipient earns additional 30% of granted shares when 12 trailing months (TTM) EBITDA exceeds $6.0M, and the earned shares will vest on May 3, 2024 or the earned date, whichever date comes later. Recipient earns the final 40% of granted shares when 12 trailing months (TTM) EBITDA exceeds $7.0M, and the earned shares will vest on May 3, 2025 or the earned date, whichever date comes later.

SEC source: 0000944075-22-000027 · primary_doc.xml · nonDerivative · entry 1

Holmes David A. · CIK 0001864423 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,200

F1 · shares: Vesting of restricted shares of Socket Mobile, Inc. Common Stock is subject to achievement of the milestones within 3 years. Unvested shares will be cancelled after May 3, 2025. Recipient earns 30% of granted shares when 12 trailing months (TTM) EBITDA exceeds $5.0M, and the earned shares will vest on May 3, 2023 or the earned date, whichever date comes later. Recipient earns additional 30% of granted shares when 12 trailing months (TTM) EBITDA exceeds $6.0M, and the earned shares will vest on May 3, 2024 or the earned date, whichever date comes later. Recipient earns the final 40% of granted shares when 12 trailing months (TTM) EBITDA exceeds $7.0M, and the earned shares will vest on May 3, 2025 or the earned date, whichever date comes later.

SEC source: 0000944075-22-000024 · primary_doc.xml · derivative · entry 2

BASS CHARLIE · CIK 0001192161 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,250

Underlying: Common · 10,000 shares

Expires 2022-04-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Monthly vesting

SEC source: 0000944075-22-000024 · primary_doc.xml · nonDerivative · entry 1

BASS CHARLIE · CIK 0001192161 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,138,751

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000944075-22-000015 · primary_doc.xml · nonDerivative · entry 1

Zhao Lynn · CIK 0001724840 · Director · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,600

F1 · shares: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were relinquished by Ms. Zhao and cancelled by Socket Mobile Inc. in exchange for Socket Mobile's agreement to pay federal and state tax withholding obligations of Ms. Zhao resulting from the vesting of Restricted Stocks. Ms. Zhao did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than to cover required taxes.

SEC source: 0000944075-22-000014 · primary_doc.xml · nonDerivative · entry 1

OTT LEONARD L · CIK 0001192169 · EVP of Engineering and CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,336

F1 · shares: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were relinquished by Mr. Ott and cancelled by Socket Mobile Inc. in exchange for Socket Mobile's agreement to pay federal and state tax withholding obligations of Mr. Ott resulting from the vesting of Restricted Stocks. Mr. Ott did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than to cover required taxes.

SEC source: 0000944075-22-000013 · primary_doc.xml · nonDerivative · entry 3

BASS CHARLIE · CIK 0001192161 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,128,751

SEC source: 0000944075-22-000013 · primary_doc.xml · nonDerivative · entry 2

BASS CHARLIE · CIK 0001192161 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,128,673

SEC source: 0000944075-22-000013 · primary_doc.xml · nonDerivative · entry 1

BASS CHARLIE · CIK 0001192161 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,120,026

SEC source: 0000944075-22-000008 · primary_doc.xml · nonDerivative · entry 1

MILLS KEVIN J · CIK 0001192160 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,585

SEC source: 0000944075-22-000007 · primary_doc.xml · nonDerivative · entry 1

MILLS KEVIN J · CIK 0001192160 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171,505

F1 · shares: Restricted shares of Socket Mobile, Inc. Common Stock subject to vesting 15% after year one, 20% after year two, 25% after year three, and final 40% after year four, granted under the 2004 Plan.

SEC source: 0000944075-22-000006 · primary_doc.xml · nonDerivative · entry 2

Zhao Lynn · CIK 0001724840 · Director · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,567

F2 · shares: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were relinquished by Ms. Zhao and cancelled by Socket Mobile Inc. in exchange for Socket Mobile's agreement to pay federal and state tax withholding obligations of Ms. Zhao resulting from the vesting of Restricted Stocks. Ms. Zhao did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than to cover required taxes.

SEC source: 0000944075-22-000006 · primary_doc.xml · nonDerivative · entry 1

Zhao Lynn · CIK 0001724840 · Director · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,437

F1 · shares: Restricted shares of Socket Mobile, Inc. Common Stock subject to vesting 15% after year one, 20% after year two, 25% after year three, and final 40% after year four, granted under the 2004 Plan.

SEC source: 0000944075-22-000004 · primary_doc.xml · nonDerivative · entry 1

Holmes David A. · CIK 0001864423 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,100

F1 · shares: Restricted shares of Socket Mobile, Inc. Common Stock subject to vesting 15% after year one, 20% after year two, 25% after year three, and final 40% after year four, granted under the 2004 Plan.

SEC source: 0000944075-22-000005 · primary_doc.xml · nonDerivative · entry 2

OTT LEONARD L · CIK 0001192169 · EVP Engineering and CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,303

F2 · shares: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were relinquished by Mr. Ott and cancelled by Socket Mobile Inc. in exchange for Socket Mobile's agreement to pay federal and state tax withholding obligations of Mr. Ott resulting from the vesting of Restricted Stocks. Mr. Ott did not sell or otherwise dispose of any of the shares reported on this Form 4 for any reason other than to cover required taxes.

SEC source: 0000944075-22-000005 · primary_doc.xml · nonDerivative · entry 1

OTT LEONARD L · CIK 0001192169 · EVP Engineering and CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,173

F1 · shares: Restricted shares of Socket Mobile, Inc. Common Stock subject to vesting 15% after year one, 20% after year two, 25% after year three, and final 40% after year four, granted under the 2004 Plan.

SEC source: 0000944075-22-000003 · primary_doc.xml · nonDerivative · entry 1

MILLS KEVIN J · CIK 0001192160 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,405

SEC source: 0000944075-22-000002 · primary_doc.xml · derivative · entry 2

MILLS KEVIN J · CIK 0001192160 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 194,881

Underlying: Common · 7,500 shares

Expires 2023-04-01

F1 · derivative.exercise_date: Grant vested in 48 equal monthly installments commencing April 1, 2013.

SEC source: 0000944075-22-000002 · primary_doc.xml · nonDerivative · entry 1

MILLS KEVIN J · CIK 0001192160 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,465

SEC source: 0000944075-22-000001 · primary_doc.xml · derivative · entry 2

MILLS KEVIN J · CIK 0001192160 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 203,579

Underlying: Common · 6,000 shares

Expires 2022-11-09

F1 · derivative.exercise_date: Grant vested in 48 equal monthly installments commencing November 9, 2012.

SEC source: 0000944075-22-000001 · primary_doc.xml · nonDerivative · entry 1

MILLS KEVIN J · CIK 0001192160 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,557

SEC source: 0000944075-21-000069 · primary_doc.xml · derivative · entry 2

MILLS KEVIN J · CIK 0001192160 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199,816

Underlying: Common · 2,900 shares

Expires 2022-11-09

F1 · derivative.exercise_date: Grant vested in 6 equal monthly installments commencing November 9, 2012.

SEC source: 0000944075-21-000069 · primary_doc.xml · nonDerivative · entry 1

MILLS KEVIN J · CIK 0001192160 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,557

SEC source: 0000944075-21-000061 · primary_doc.xml · derivative · entry 2

BASS CHARLIE · CIK 0001192161 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,166

Underlying: Common · 10,000 shares

Expires 2021-08-22

SEC source: 0000944075-21-000061 · primary_doc.xml · nonDerivative · entry 1

BASS CHARLIE · CIK 0001192161 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,118,751

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000944075-21-000059 · primary_doc.xml · derivative · entry 5

MILLS KEVIN J · CIK 0001192160 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,757

Underlying: Common · 10,000 shares

Expires 2022-02-27

F3 · derivative.exercise_date: Grant vested in 48 equal monthly installments commenced February 27, 2012.

SEC source: 0000944075-21-000059 · primary_doc.xml · derivative · entry 4

MILLS KEVIN J · CIK 0001192160 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201,757

Underlying: Common · 2,000 shares

Expires 2022-08-01

F2 · derivative.exercise_date: Grant vested in 48 equal monthly installments commenced August 1, 2012.

SEC source: 0000944075-21-000059 · primary_doc.xml · nonDerivative · entry 3

MILLS KEVIN J · CIK 0001192160 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,657

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 18, 2021 for the period of 6/16/2021 to 4/29/2022.

SEC source: 0000944075-21-000059 · primary_doc.xml · nonDerivative · entry 2

MILLS KEVIN J · CIK 0001192160 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,657

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 18, 2021 for the period of 6/16/2021 to 4/29/2022.

SEC source: 0000944075-21-000059 · primary_doc.xml · nonDerivative · entry 1

MILLS KEVIN J · CIK 0001192160 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,657

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 18, 2021 for the period of 6/16/2021 to 4/29/2022.

SEC source: 0000944075-21-000058 · primary_doc.xml · nonDerivative · entry 2

OTT LEONARD L · CIK 0001192169 · EVP of Engineering and CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,073

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 13, 2021 for the period of 5/17/2021 to 11/30/2021.

SEC source: 0000944075-21-000058 · primary_doc.xml · nonDerivative · entry 1

OTT LEONARD L · CIK 0001192169 · EVP of Engineering and CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,347

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 13, 2021 for the period of 5/17/2021 to 11/30/2021.

SEC source: 0000944075-21-000057 · primary_doc.xml · derivative · entry 2

Lazarev Ivan · CIK 0001792350 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,084

Underlying: Common · 5,542 shares

Expires 2029-10-23

F1 · derivative.exercise_date: Vests monthly over a 19-month period commencing October 23, 2019.

SEC source: 0000944075-21-000057 · primary_doc.xml · nonDerivative · entry 1

Lazarev Ivan · CIK 0001792350 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,542

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.