Statement of Changes in Beneficial Ownership (4)
August 13 2021 - 7:01PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Fisher Ronald Kenneth Jr |
2. Issuer Name and Ticker or Trading Symbol
SIGMA LABS, INC.
[
SGLB
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) VP of Business Development |
(Last)
(First)
(Middle)
3900 PASEO DEL SOL |
3. Date of Earliest Transaction
(MM/DD/YYYY)
8/11/2021 |
(Street)
SANTA FE, NM 87507
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (right to buy) | $3.42 | 8/11/2021 | | A | | 30313 | | (1) | 8/11/2026 | Common Stock | 30313.00 | $0.00 | 30313 | D | |
Stock Appreciation Right | $3.42 | 8/11/2021 | | A | | 30313 | | (2) | 8/11/2026 | Common Stock | 30313.00 | $0.00 | 30313 | D | |
Explanation of Responses: |
(1) | The stock option will vest and become exercisable as follows: (i) 25% of the option vested on the grant date (i.e., August 11, 2021), and (ii) the balance of the option will vest in equal (as closely as possible) monthly installments over three years from the grant date, subject, in each case, to the Reporting Person being in the continuous employ of the Issuer on the applicable vesting date. |
(2) | The stock appreciation right ("SAR") is payable in cash only, and vests as follows: (i) 25% of the SAR vested on the grant date (i.e., August 11, 2021), and (ii) the balance of the SAR will vest in equal (as closely as possible) monthly installments over three years from the grant date, subject, in each case, to the Reporting Person being in the continuous employ of the Issuer on the applicable vesting date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Fisher Ronald Kenneth Jr 3900 PASEO DEL SOL SANTA FE, NM 87507 |
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| VP of Business Development |
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Signatures
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/s/ Ronald Fisher | | 8/13/2021 |
**Signature of Reporting Person | Date |
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