Joe Mozden Jr. - 01 Jul 2021 Form 4 Insider Report for SONIC FOUNDRY INC

Role
Chief Executive Officer, Director
Signature
/s/ Joe Mozden, Jr.
Issuer symbol
SOFO on OTC
Transactions as of
01 Jul 2021
Net transactions value
$0
Form type
4
Filing time
11 Mar 2022, 13:28:49 UTC
Next filing
24 Mar 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SOFO Common Stock Award $0 +1,000 +8% $0.000000 13,500 01 Jul 2021 Direct F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction SOFO Employee Stock Option Award +60,000 +17% 410,000 21 Dec 2021 Common Stock 60,000 $2.95 Direct F1, F4
transaction SOFO Employee Stock Option Award +180,000 +44% 590,000 21 Dec 2021 Common Stock 180,000 $2.95 Direct F1, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 N/A
F2 Pursuant to Discounted Employee Stock Purchase Plan
F3 Exercisable pursuant to achieving certain performance goals
F4 20,000 shares exercisable on each of December 21, 2022, 2023 and 2024