Statement of Changes in Beneficial Ownership (4)
November 30 2020 - 6:02PM
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
*
OWENS GARY D |
2. Issuer Name and Ticker or Trading Symbol
GEOSPACE TECHNOLOGIES CORP
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GEOS
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
7007 PINEMONT DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/25/2020 |
(Street)
HOUSTON, TX 77040
(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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Common Stock | 11/25/2020 | | A | | 7749 | A | $6.97 (1) | 14913 | I | By Owens 2008 Grandkids Trust (2) |
Common Stock | 11/27/2020 | | A | | 32000 | A | $6.54 (1) | 46913 | I | By Owens 2008 Grandkids Trust (2) |
Common Stock | 11/30/2020 | | A | | 27891 | A | $6.45 (1) | 74804 | I | By Owens 2008 Grandkids Trust (2) |
Common Stock | | | | | | | | 229324 | D | |
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 |
Explanation of Responses: |
(1) | The price reported in Column 4 is a weighted average price. With respect to the November 25, 2020 transaction, these shares were purchased in multiple transactions at prices ranging from $6.90 to $7.00, inclusive. With respect to the November 27, 2020 transaction, these shares were purchased in multiple transactions at prices ranging from $6.24 to $6.80, inclusive. With respect to the November 30, 2020 transaction, these shares were purchased in multiple transactions at prices ranging from $6.19 to $6.60, inclusive. The reporting person undertakes to provide Geospace Technologies Corporation (the "Company"), any security holder of the Company, or staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. |
(2) | Represents shares held by the Owens 2008 Grandkids Trust, in which the reporting person is trustee. The reporting person disclaims beneficial ownership of these shares held by the Trust, except to the extent of his pecuniary interest therein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
OWENS GARY D 7007 PINEMONT DRIVE HOUSTON, TX 77040 | X |
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Signatures
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/s/ Anthony Eppolito, as Attorney-in-fact | | 11/30/2020 |
**Signature of Reporting Person | Date |
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