5//SEC Filing
DEZWIREK PHILLIP 5
Accession 0001181431-13-002694
CIK 0001081078other
Filed
Jan 8, 7:00 PM ET
Accepted
Jan 9, 5:26 PM ET
Size
35.3 KB
Accession
0001181431-13-002694
Insider Transaction Report
Form 5
DEZWIREK PHILLIP
DirectorChairman10% Owner
Transactions
- Purchase
Common Stock
2011-01-12$5.79/sh+600$3,474→ 743,755 total(indirect: By Icarus Investment Corp.) - Purchase
Common Stock
2011-01-18$6.07/sh+1,500$9,105→ 747,555 total(indirect: By Icarus Investment Corp.) - Sale
Common Stock
2011-06-24$7.45/sh−2,000$14,900→ 1,146,555 total(indirect: By Icarus Investment Corp.) - Sale
Common Stock
2011-03-28$7.80/sh−10,000$78,000→ 189,833 total - Sale
Common Stock
2011-05-19$6.97/sh−7,000$48,790→ 180,333 total - Purchase
Common Stock
2010-11-19$3.88/sh+1,250$4,850→ 34,541 total - Sale
Common Stock
2011-03-01$6.26/sh−2,000$12,520→ 33,166 total - Purchase
Common Stock
2011-01-14$6.05/sh+2,300$13,915→ 746,055 total(indirect: By Icarus Investment Corp.) - Sale
Common Stock
2009-05-29$2.82/sh−19,208$54,167→ 33,291 total - Sale
Common Stock
2011-06-20$7.00/sh−6,666$46,662→ 166,667 total - Purchase
Common Stock
2010-11-24$4.04/sh+625$2,525→ 35,166 total - Sale
Common Stock
2011-03-31$8.18/sh−2,500$20,450→ 187,333 total - Sale
Common Stock
2011-05-20$7.00/sh−2,000$14,000→ 178,333 total - Sale
Common Stock
2011-06-02$7.50/sh−5,000$37,500→ 173,333 total
Holdings
- 111,608(indirect: Icarus Investment Corp.)
Warrant (right to buy)
Exercise: $5.60From: 2010-01-21Exp: 2015-01-20→ Common Stock (111,608 underlying) - 16,667(indirect: By Spouse)
Common Stock
- 11,987(indirect: Icarus Investment Corp.)
Warrant (right to buy)
Exercise: $5.08From: 2009-12-18Exp: 2012-06-23→ Common Stock (11,987 underlying) - 208,334
Warrant (right to buy)
Exercise: $5.53From: 2006-11-06Exp: 2013-01-20→ Common Stock (208,334 underlying) - 13,333(indirect: By Spouse)
Common Stock
- 287,500
Exchangeable shares of API Nanotronics Sub., Inc.
From: 2006-11-06→ Common Stock (287,500 underlying)
Footnotes (14)
- [F1]The prices and shares listed in columns 4 and 5 of Table I and columns 2, 7 and 9 of Table II of this Form 5 reflect a 1 for 15 reverse stock split effective September 19, 2008 and a 1 for 4 reverse stock split effective December 28, 2010.
- [F10]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.25 to $6.26, inclusive.
- [F11]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.15 to $8.20, inclusive.
- [F12]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.96 to $7.00, inclusive.
- [F13]Exchangeable shares are convertible into common stock of the Issuer on a 1-for-1 basis.
- [F14]The Issuer may require the exchange of the exchangeable shares into common stock of the Issuer commencing November 6, 2016 or sooner under specified circumstances. The exchangeable shares are exchangeable for common stock of the Issuer at any time at the option of the holder.
- [F2]The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.78 to $5.85, inclusive. The reporting person undertakes to provide to API Technologies Corp., any security holder of API Technologies Corp., or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold or purchased, as applicable, at each separate price within the ranges set forth in footnotes 2 through 4 and footnotes 9 through 12 to this Form 5.
- [F3]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.00 to $6.15, inclusive.
- [F4]The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.99 to $6.10, inclusive.
- [F5]In connection with this transaction, Icarus Investment Corp. has agreed to voluntarily remit appropriate profits to API Technologies Corp., pursuant to Section 16(b) of the Securities Exchange Act of 1934.
- [F6]Reflects the effect of non-reportable transactions that occurred after January 21, 2011.
- [F7]Filer is President of Icarus Investment Corp. and disclaims beneficial ownership of these securities except to the extent of his pecuniary interest, if any, therein.
- [F8]In connection with this transaction, filer has agreed to voluntarily remit appropriate profits to API Technologies Corp., pursuant to Section 16(b) of the Securities Exchange Act of 1934.
- [F9]The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.72 to $2.96, inclusive.
Documents
Issuer
API Technologies Corp.
CIK 0001081078
Entity typeother
Related Parties
1- filerCIK 0000897715
Filing Metadata
- Form type
- 5
- Filed
- Jan 8, 7:00 PM ET
- Accepted
- Jan 9, 5:26 PM ET
- Size
- 35.3 KB