Statement of Changes in Beneficial Ownership (4)
December 21 2020 - 5:19PM
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
*
Vizi Bradley |
2. Issuer Name and Ticker or Trading Symbol
RCM TECHNOLOGIES, INC.
[
RCMT
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director __X__ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Executive Chairman & President |
(Last)
(First)
(Middle)
3750 LAS VEGAS BLVD, SUITE 3707 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/18/2020 |
(Street)
LAS VEGAS, NV 89158
(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 | 12/18/2020 | | A | | 125000 (1) | A | $0 (2) | 1289026 (3) | 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) | Granted in connection with the reduction of base salary for 2021 on a dollar for dollar basis equal to the value of these shares on the date of grant. These shares will vest in equal installments of approximately 4,808 shares on each twenty-six bi-weekly payroll dates of the Issuer, commencing on January 15, 2021 and continuing until December 31, 2021, so long as the reporting person remains continuously employed by the Issuer through such date, except vesting will be accelerated if there is a Change in Control. |
(2) | Received as employment compensation. |
(3) | Includes 1,500 shares purchased pursuant to the Issuer's Employee Stock Purchase Plan since the reporting person's most recent filing under Section 16. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Vizi Bradley 3750 LAS VEGAS BLVD SUITE 3707 LAS VEGAS, NV 89158 | X | X | Executive Chairman & President |
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Signatures
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Bradley S. Vizi | | 12/21/2020 |
**Signature of Reporting Person | Date |
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