Filing Details
- Accession Number:
- 0000086115-14-000092
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-12-16 13:47:48
- Reporting Period:
- 2014-12-12
- Filing Date:
- 2014-12-16
- Accepted Time:
- 2014-12-16 13:47:48
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 86115 | Safeguard Scientifics Inc | SFE | Investors, Nec (6799) | 231609753 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1563273 | B Jeffrey Mcgroarty | 435 Devon Park Drive, Building 800 Wayne PA 19087-1945 | Senior Vp & Cfo | No | Yes | 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 | 2014-12-12 | 9,185 | $14.01 | 23,656 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-12-12 | 1,553 | $18.75 | 22,103 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2014-12-12 | 2,000 | $18.76 | 20,103 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2014-12-12 | 4,000 | $18.74 | 16,103 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2014-12-12 | 9,185 | $0.00 | 9,185 | $14.01 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2014-12-15 | No | 4 | M | Direct |
Footnotes
- Option features market-based vesting so that option only becomes exercisable upon sustained improvement in the trading price of the Issuer's common stock in the following increments: 20% at $18.9288 per share; an additional 30% at $27.8796 per share; an additional 40% at $39.0684 per share; and the remaining 10% at $43.3476 (based on the average daily closing price of the Issuer's common stock on the NYSE for any 20 consecutive trading days preceding a vesting date), with pro rata vesting based on sustained improvement in the trading price of the Issuer's common stock between the exercise price and $18.9288 and between the other stock price vesting thresholds set forth above. Unvested shares expired without value on 12/15/14.
Billionaire Hedge Funds
