Filing Details
- Accession Number:
- 0000944075-21-000009
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-02-18 17:03:42
- Reporting Period:
- 2021-02-16
- Accepted Time:
- 2021-02-18 17:03:42
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 944075 | Socket Mobile Inc. | SCKT | Electronic Computers (3571) | 943155066 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1192162 | W David Dunlap | 39700 Eureka Drive Newark CA 94560 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2021-02-16 | 5,000 | $2.27 | 13,546 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-02-16 | 5,000 | $2.27 | 18,546 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-02-16 | 4,000 | $2.27 | 22,546 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-02-16 | 5,000 | $2.75 | 27,546 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-02-16 | 5,000 | $2.75 | 32,546 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-02-16 | 5,000 | $2.75 | 37,546 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-02-16 | 2,500 | $2.75 | 40,046 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-02-16 | 31,500 | $10.00 | 8,546 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common | Common stock option | Disposition | 2021-02-16 | 5,000 | $0.00 | 5,000 | $2.27 |
| Common | Common stock option | Disposition | 2021-02-16 | 5,000 | $0.00 | 5,000 | $2.27 |
| Common | Common stock option | Disposition | 2021-02-16 | 4,000 | $0.00 | 4,000 | $2.27 |
| Common | Common stock option | Disposition | 2021-02-16 | 5,000 | $0.00 | 5,000 | $2.75 |
| Common | Common stock option | Disposition | 2021-02-16 | 5,000 | $0.00 | 5,000 | $2.75 |
| Common | Common stock option | Disposition | 2021-02-16 | 5,000 | $0.00 | 5,000 | $2.75 |
| Common | Common stock option | Disposition | 2021-02-16 | 2,500 | $0.00 | 2,500 | $2.75 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 126,000 | 2025-02-23 | No | 4 | M | Direct | |
| 121,000 | 2025-02-23 | No | 4 | M | Direct | |
| 117,000 | 2025-02-23 | No | 4 | M | Direct | |
| 112,000 | 2026-02-22 | No | 4 | M | Direct | |
| 107,000 | 2026-02-22 | No | 4 | M | Direct | |
| 102,000 | 2026-02-22 | No | 4 | M | Direct | |
| 99,500 | 2026-02-22 | No | 4 | M | Direct |
Footnotes
- The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 11/24/2020 for the period of 1/4/2021 to 11/15/2022.
- The sale price reported in Column 4 of Table I is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.917764 to $10.039142, inclusive. The reporting person undertakes to provide to Socket Mobile Inc., any shareholder of Socket Mobile Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.
- Vests monthly over 48 months.
Billionaire Hedge Funds
