Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| LSI INDUSTRIES INCLYTS · Entity 5205 | CFO Emeritus and Treasurer | September 15, 2017 | September 19, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
LSI INDUSTRIES INC
Report date September 15, 2017 · Filed September 19, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 79,798 |
Reported balance
After 2017-09-15 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2017-09-15 · Grant · Acquired 229 · Balance 79,798 F1: Common Shares held in the LSI Industries Inc. Non-Qualified Deferred Compensation Plan. |
| Common SharesSEC Table I · non-derivative | Direct | 31,376 |
Reported balance
Holding disclosure · report date 2017-09-15 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 31,376 |
| Option to BuySEC Table II · derivative / convertible security · Conversion / exercise price $6.81 · Expires 2024-11-20 | Direct | 40,000 |
Reported balance
Holding disclosure · report date 2017-09-15 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 40,000 F4: These holdings have been previously reported on Form 4. F3: The options vest at a rate of 25% per year beginning on the first anniversary of the grant date. |
| Option to BuySEC Table II · derivative / convertible security · Conversion / exercise price $7.20 · Expires 2023-08-22 | Direct | 50,000 |
Reported balance
Holding disclosure · report date 2017-09-15 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 50,000 F4: These holdings have been previously reported on Form 4. F3: The options vest at a rate of 25% per year beginning on the first anniversary of the grant date. |
| Option to BuySEC Table II · derivative / convertible security · Conversion / exercise price $6.58 · Expires 2022-08-15 | Direct | 40,000 |
Reported balance
Holding disclosure · report date 2017-09-15 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 40,000 F4: These holdings have been previously reported on Form 4. F2: Options granted vest on the anniversary of the grant date, 9.2% in 2005, 40% in 2007 and 10.8% in 2008. |
| Option to BuySEC Table II · derivative / convertible security · Conversion / exercise price $8.98 · Expires 2018-08-22 | Direct | 30,000 |
Reported balance
Holding disclosure · report date 2017-09-15 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 30,000 F4: These holdings have been previously reported on Form 4. F3: The options vest at a rate of 25% per year beginning on the first anniversary of the grant date. |
| Option to BuySEC Table II · derivative / convertible security · Conversion / exercise price $8.40 · Expires 2019-08-21 | Direct | 45,000 |
Reported balance
Holding disclosure · report date 2017-09-15 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 45,000 F4: These holdings have been previously reported on Form 4. F3: The options vest at a rate of 25% per year beginning on the first anniversary of the grant date. |
| Option to BuySEC Table II · derivative / convertible security · Conversion / exercise price $9.39 · Expires 2025-07-01 | Direct | 40,000 |
Reported balance
Holding disclosure · report date 2017-09-15 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance 40,000 F4: These holdings have been previously reported on Form 4. F3: The options vest at a rate of 25% per year beginning on the first anniversary of the grant date. |
| Option to BuySEC Table II · derivative / convertible security · Conversion / exercise price $11.06 · Expires 2026-07-01 | Direct | 40,000 |
Reported balance
Holding disclosure · report date 2017-09-15 · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · Balance 40,000 F4: These holdings have been previously reported on Form 4. F3: The options vest at a rate of 25% per year beginning on the first anniversary of the grant date. |
| Option to BuySEC Table II · derivative / convertible security · Conversion / exercise price $9.39 · Expires 2025-07-01 | Direct | 60,000 |
Reported balance
Holding disclosure · report date 2017-09-15 · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · Balance 60,000 F4: These holdings have been previously reported on Form 4. F5: On July 1, 2015, the Reporting Person was granted an option to purchase 60,000 shares of common stock. The option vests in three equal annual installments based on the Issuer's satisfaction of certain performance criteria for the fiscal year ending June 30, 2016. On September 8, 2016, it was determined that the performance criteria were met. |
Filing footnotes · ownership attribution and instrument terms
F1: Common Shares held in the LSI Industries Inc. Non-Qualified Deferred Compensation Plan.
F2: Options granted vest on the anniversary of the grant date, 9.2% in 2005, 40% in 2007 and 10.8% in 2008.
F3: The options vest at a rate of 25% per year beginning on the first anniversary of the grant date.
F4: These holdings have been previously reported on Form 4.
F5: On July 1, 2015, the Reporting Person was granted an option to purchase 60,000 shares of common stock. The option vests in three equal annual installments based on the Issuer's satisfaction of certain performance criteria for the fiscal year ending June 30, 2016. On September 8, 2016, it was determined that the performance criteria were met.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 15, 2017 Filed Sep 19, 2017 18:17 UTC | LSI INDUSTRIES INC LYTS · Entity 5205 | GrantCommon Shares | 229 | $6.51 | $1,490.79 |
DisclosureSEC source: 0001140361-17-035888 · doc1.xml · nonDerivative · entry 1 STOWELL RONALD S · CIK 0001206598 · CFO Emeritus and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,798 F1 · security: Common Shares held in the LSI Industries Inc. Non-Qualified Deferred Compensation Plan. Read SEC document |
| August 21, 2017 Filed Aug 22, 2017 16:04 UTC | LSI INDUSTRIES INC LYTS · Entity 5205 | GrantCommon Shares | 4,244 | $5.98 | $25,379.12 |
DisclosureSEC source: 0001140361-17-032933 · doc1.xml · nonDerivative · entry 1 STOWELL RONALD S · CIK 0001206598 · CFO Emeritus and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,569 F1 · security: Common Shares held in the LSI Industries Inc. Non-Qualified Deferred Compensation Plan. Read SEC document |
| August 18, 2017 Filed Aug 21, 2017 19:16 UTC | LSI INDUSTRIES INC LYTS · Entity 5205 | PurchaseCommon Shares | 4,000 | $6.04 | $24,156.00 |
DisclosureSEC source: 0001140361-17-032833 · doc1.xml · nonDerivative · entry 2 STOWELL RONALD S · CIK 0001206598 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,376 F2 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions ranging from $6.035 to $6.04. The Reporting Person undertakes to provide full pricing information to the issuer, any securityholder of the issuer or the staff of the Securities and Exchange Commission upon request. Read SEC document |
| June 26, 2017 Filed Jun 28, 2017 13:44 UTC | LSI INDUSTRIES INC LYTS · Entity 5205 | GrantCommon Shares | 211 | $8.79 | $1,854.69 |
DisclosureSEC source: 0001140361-17-026362 · doc1.xml · nonDerivative · entry 1 STOWELL RONALD S · CIK 0001206598 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,325 F1 · security: Common Shares held in the LSI Industries Inc. Non-Qualified Deferred Compensation Plan. Read SEC document |
| May 30, 2017 Filed Jun 1, 2017 14:03 UTC | LSI INDUSTRIES INC LYTS · Entity 5205 | GrantCommon Shares | 210 | $8.79 | $1,845.90 |
DisclosureSEC source: 0001140361-17-023249 · doc1.xml · nonDerivative · entry 1 STOWELL RONALD S · CIK 0001206598 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,114 F1 · security: Common Shares held in the LSI Industries Inc. Non-Qualified Deferred Compensation Plan. Read SEC document |
| April 28, 2017 Filed May 2, 2017 18:11 UTC | LSI INDUSTRIES INC LYTS · Entity 5205 | GrantCommon Shares | 205 | $9.01 | $1,847.05 |
DisclosureSEC source: 0001140361-17-017848 · doc1.xml · nonDerivative · entry 1 STOWELL RONALD S · CIK 0001206598 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,904 F1 · security: Common Shares held in the LSI Industries Inc. Non-Qualified Deferred Compensation Plan. Read SEC document |
| March 31, 2017 Filed Apr 4, 2017 15:54 UTC | LSI INDUSTRIES INC LYTS · Entity 5205 | GrantCommon Shares | 274 | $10.12 | $2,772.88 |
DisclosureSEC source: 0001140361-17-014512 · doc1.xml · nonDerivative · entry 1 STOWELL RONALD S · CIK 0001206598 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,699 F1 · security: Common Shares held in the LSI Industries Inc. Non-Qualified Deferred Compensation Plan. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 18:46 UTC | LSI INDUSTRIES INC LYTS · Entity 5205 | GrantCommon Shares | 187 | $9.92 | $1,855.04 |
DisclosureSEC source: 0001140361-17-008479 · doc1.xml · nonDerivative · entry 1 STOWELL RONALD S · CIK 0001206598 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,425 F1 · security: Common Shares held in the LSI Industries Inc. Non-Qualified Deferred Compensation Plan. Read SEC document |
| January 20, 2017 Filed Jan 24, 2017 18:27 UTC | LSI INDUSTRIES INC LYTS · Entity 5205 | GrantCommon Shares | 211 | $8.73 | $1,842.03 |
DisclosureSEC source: 0001140361-17-002656 · doc1.xml · nonDerivative · entry 1 STOWELL RONALD S · CIK 0001206598 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,238 F1 · security: Common Shares held in the LSI Industries Inc. Non-Qualified Deferred Compensation Plan. Read SEC document |
| December 22, 2016 Filed Dec 27, 2016 16:30 UTC | LSI INDUSTRIES INC LYTS · Entity 5205 | GrantCommon Shares | 189 | $9.77 | $1,846.53 |
DisclosureSEC source: 0001140361-16-090764 · doc1.xml · nonDerivative · entry 1 STOWELL RONALD S · CIK 0001206598 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,027 F1 · security: Common Shares held in the LSI Industries Inc. Non-Qualified Deferred Compensation Plan. Read SEC document |
| November 23, 2016 Filed Nov 28, 2016 18:37 UTC | LSI INDUSTRIES INC LYTS · Entity 5205 | GrantCommon Shares | 185 | $10.01 | $1,851.85 |
DisclosureSEC source: 0001140361-16-087913 · doc1.xml · nonDerivative · entry 1 STOWELL RONALD S · CIK 0001206598 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,838 F1 · security: Common Shares held in the LSI Industries Inc. Non-Qualified Deferred Compensation Plan. Read SEC document |
| October 28, 2016 Filed Nov 1, 2016 14:04 UTC | LSI INDUSTRIES INC LYTS · Entity 5205 | GrantCommon Shares | 209 | $8.86 | $1,851.74 |
DisclosureSEC source: 0001140361-16-084267 · doc1.xml · nonDerivative · entry 1 STOWELL RONALD S · CIK 0001206598 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,653 F1 · security: Common Shares held in the LSI Industries Inc. Non-Qualified Deferred Compensation Plan. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 17:36 UTC | LSI INDUSTRIES INC LYTS · Entity 5205 | GrantCommon Shares | 240 | $11.48 | $2,755.20 |
DisclosureSEC source: 0001140361-16-081561 · doc1.xml · nonDerivative · entry 1 STOWELL RONALD S · CIK 0001206598 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,444 F1 · security: Common Shares held in the LSI Industries Inc. Non-Qualified Deferred Compensation Plan. Read SEC document |
| September 08, 2016 Filed Sep 12, 2016 20:45 UTC | LSI INDUSTRIES INC LYTS · Entity 5205 | GrantOption to Buy · Derivative | 60,000 | $0.00 Strike: $9.39 | $0.00 |
DisclosureSEC source: 0001140361-16-079546 · doc1.xml · derivative · entry 11 STOWELL RONALD S · CIK 0001206598 · VP, CFO and Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Shares · 60,000 shares Expires 2026-07-01 F5 · derivative.exercise_date: On July 1, 2015, the Reporting Person was granted an option to purchase 60,000 shares of common stock. The option vests in three equal annual installments based on the Issuer's satisfaction of certain performance criteria for the fiscal year ending June 30, 2016. On September 8, 2016, it was determined that the performance criteria were met. F5 · balance_after: On July 1, 2015, the Reporting Person was granted an option to purchase 60,000 shares of common stock. The option vests in three equal annual installments based on the Issuer's satisfaction of certain performance criteria for the fiscal year ending June 30, 2016. On September 8, 2016, it was determined that the performance criteria were met. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.