Statement of Changes in Beneficial Ownership (4)
March 03 2020 - 5:38PM
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
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
HOFFMAN LLOYD |
2. Issuer Name and Ticker or Trading Symbol
ALPHA PRO TECH LTD
[
APT
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) CEO |
(Last)
(First)
(Middle)
60 CENTURIAN DRIVE SUITE 112 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/28/2020 |
(Street)
MARKHAM, A6 L3R 9R2
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
common stock | 2/28/2020 | | S |
V
| 155000 | D | $34.49 | 0 | I | By 1268265 Ontario Inc. (1) |
common stock | 2/28/2020 | | M | | 200000 | A | $2.12 | 271000 | D | |
common stock | 2/28/2020 | | M | | 31667 | A | $3.20 | 302667 | D | |
common stock | 2/28/2020 | | S | | 301667 | D | $34.49 | 1000 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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 |
employee stock option ( right to buy) | $2.12 | 2/28/2020 | | M | | | 66667 | 6/24/2017 | 6/23/2021 | common stock | 66667 | $0.0 | 328333 | D | |
employee stock option ( right to buy) | $2.12 | 2/28/2020 | | M | | | 66667 | 6/24/2018 | 6/23/2021 | common stock | 66667 | $0.00 | 261666 | D | |
employee stock options ( right to buy) | $2.12 | 2/28/2020 | | M | | | 66666 | 6/24/2019 | 6/23/2021 | common stock | 66666 | $0. | 195000 | D | |
employee stock options ( right to buy) | $3.20 | 2/28/2020 | | M | | | 31667 | 3/21/2019 | 3/20/2023 | common stock | 31667 | $0.0 | 163333 | D | |
Explanation of Responses: |
(1) | On August 14,2018, upon the distribution of assets from a family trust, the reporting person acquired 155,000 shares of the issuer's common stock, which shares will be held by 1268265 Ontario Inc., of which the reporting person is the sole shareholder |
Remarks: On August 14,2018, upon the distribution of assets from a family trust, the reporting person acquired 155,000 shares of the issuer's common stock, which shares will be held by 1268265 Ontario Inc., of which the reporting person is the sole shareholder. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
HOFFMAN LLOYD 60 CENTURIAN DRIVE SUITE 112 MARKHAM, A6 L3R 9R2 |
|
| CEO |
|
Signatures
|
Lloyd Hoffman | | 3/3/2020 |
**Signature of Reporting Person | Date |
Alpha Pro Tech (AMEX:APT)
Historical Stock Chart
From Aug 2024 to Sep 2024
Alpha Pro Tech (AMEX:APT)
Historical Stock Chart
From Sep 2023 to Sep 2024