Key facts
- This page summarizes Mark D. Roberson's Form 4 filing for CYNERGISTEK, INC.
- 3 reported transactions and 1 derivative row are listed below.
- Accepted by SEC: 01 Sep 2022, 14:05.
Mark D. Roberson - 01 Sep 2022 Form 4 Insider Report for CYNERGISTEK, INC
- Reporting relationship
- Director
- Issuer ticker
- N/A
- Reported as of
- 01 Sep 2022
- Net transaction value
- $0
- SEC form
- 4
- Accepted by SEC
- 01 Sep 2022, 14:05:34 UTC
- Prior SEC filing
- 18 Nov 2021
- Next SEC filing
- 05 Apr 2023
- Source filing
- View source filing
- Reporting owner signature
- /s/ Mark D. Roberson
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Mark D. Roberson filed Form 4 for CYNERGISTEK, INC on 01 Sep 2022.
Change
- Previous filing in this sequence was filed on 18 Nov 2021.
- Current net transaction value: $0.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
CTEK
transaction
Common Stock
Award
- Transaction value
- $0
- Shares
- +25,000
- Change %
- +35%
- Price
- $0.000000
- Shares after
- 96,000
- Date
- 01 Sep 2022
- Ownership
- Direct
- Footnotes
- F1
CTEK
transaction
Common Stock
Disposed to Issuer
- Transaction value
- Shares
- -96,000
- Change %
- -100%
- Price
- Shares after
- 0
- Date
- 01 Sep 2022
- Ownership
- Direct
- Footnotes
- F2
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
CTEK
transaction
Derivative
Stock Option (Right to Buy)
Disposed to Issuer
- Transaction value
- $0
- Shares
- -8,334
- Change %
- -100%
- Price
- $0.000000*
- Shares after
- 0
- Date
- 01 Sep 2022
- Ownership
- Direct
- Underlying class
- Common Stock
- Underlying amount
- 8,334
- Exercise price
- $2.55
- Footnotes
- F3
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Section 16 status
Mark D. Roberson is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may still apply in specific circumstances.
Explanation of responses 3 footnotes
Footnote F1
Represents accelerated vesting and settlement of restricted stock units (RSUs) pursuant to the Merger Agreement (as defined below).
Footnote F2
Disposed of pursuant to an Agreement and Plan of Merger, dated as of May 23, 2022 (the "Merger Agreement") by and among the Issuer, Clearwater Compliance LLC, a Tennessee limited liability company (the "Parent"), and Clearwater Compliance Acquisition Company I, a Delaware corporation and a wholly owned subsidiary of the Parent (the "Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as a wholly-owned subsidiary of Parent. Each share of common stock exchanged in the Merger will receive cash of $1.25 per share.
Footnote F3
Pursuant to the terms of the Merger Agreement, this option, which fully vested on June 6, 2019, was canceled for no consideration at the effective time of the Merger because its exercise price exceeded the per share merger consideration of $1.25 per share.