Filing Details
- Accession Number:
- 0001354488-15-005523
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-12-14 10:34:56
- Reporting Period:
- 2015-12-04
- Filing Date:
- 2015-12-14
- Accepted Time:
- 2015-12-14 10:34:56
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 843006 | Issuer Direct Corp | ISDR | Commercial Printing (2750) | 261331503 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1282217 | R Brian Balbirnie | C/O Issuer Direct Corp. 500 Perimeter Park Drive, Suite D Morrisville NC 27560 | Chief Executive Officer | Yes | Yes | Yes | 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 | 2015-12-04 | 200 | $6.06 | 618,655 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2015-12-11 | 600 | $6.06 | 619,255 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Option to Purchase Common Stock | $0.00 | 2022-04-02 | 7,500 | 7,500 | Indirect | |
| Common Stock | Option to Purchase Common Stock | $0.00 | 2024-12-16 | 500 | 8,000 | Indirect | |
| Common Stock | Restricted Stock Unit | $0.00 | 2016-12-16 | 1,000 | 1,000 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2022-04-02 | 7,500 | 7,500 | Indirect |
| 2024-12-16 | 500 | 8,000 | Indirect |
| 2016-12-16 | 1,000 | 1,000 | Indirect |
Footnotes
- The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.99 to $6.13. The Reporting Person undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer.
- The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.05 to $6.12. The Reporting Person undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer.
- 2010 Equity Incentive Plan ? Incentive Stock Option issued to spouse over a period with conversion prices ranging from 1.70 to 3.33. All such options have vested as of the date of this filing.
- 2014 Equity Incentive Plan ? Incentive Stock Option issued to spouse on December 16, 2014 with the following vesting schedule: 25% upon the first anniversary of grant and the remaining 75% on a quarterly basis for the three years thereafter. All options under this grant accelerate upon a Corporate Transaction as defined in the Registrant?s 2014 Equity Inventive Plan.
- 2014 Equity Incentive Plan ? Restrictive Stock Unit grant to spouse on December 16, 2014 with the following vesting schedule: 100% upon the first anniversary of grant. All restricted stock units vest upon a Corporate Transaction as defined in the Registrant?s 2014 Equity Inventive Plan. Each Restricted Stock Unit represents the right to receive, at settlement, one share of the Registrant?s common stock.
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