UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (Right to Purchase) | 03/17/2014(1) | 03/17/2024 | Common Stock | 7,500 | $ 14.2 | D | Â |
Stock Option (Right to Purchase) | 03/29/2012(1) | 03/29/2022 | Common Stock | 5,175 | $ 8.35 | D | Â |
Stock Option (Right to Purchase) | 03/15/2010(1) | 03/15/2020 | Common Stock | 4,800 | $ 7.36 | D | Â |
Restricted Stock Unit | 03/14/2016 | Â (2) | Common Stock | 64 | $ 0 (2) | D | Â |
Restricted Stock Unit | 05/20/2015 | Â (3) | Common Stock | 6,189 | $ 0 (3) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
OCONNELL JOSEPH P C/O ASTRONOVA, INC. 600 E GREENWICH AVENUE W WARWICK, RI 02893 |
 |  |  Interim CFO |  |
/s/ Margaret V. Boericke, by power of attorney | 09/01/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Date indicated is date of grant. Option vests in four equal installments, commencing on the date of grant. |
(2) | Each restricted stock unit represents a contingent right to receive one share of ALOT common stock. Shares vest in two equal installments on May 14, 2018 and 2019. |
(3) | Each restricted stock unit represents a contingent right to receive one share of ALOT common stock. Shares vest in two equal installments on May 20, 2018 and 2019. |
 Remarks: This report is being filed in connection with the reporting person's appointment to the position of Interim Chief Financial Officer and Treasurer of the issuer. |