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NORTHERN TECHNOLOGIES INTERNATIONAL CORP — Director's Dealing 2012
Nov 19, 2012
34385_dirs_2012-11-19_11e30914-8d5c-4de3-8908-9c1a37e61f63.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: NORTHERN TECHNOLOGIES INTERNATIONAL CORP (NTIC)
CIK: 0000875582
Period of Report: 2012-11-16
Reporting Person: LYNCH G PATRICK (President and CEO)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-11-16 | Stock Option (right to buy) | $10.25 | A | 3362 | Acquired | 2022-11-16 | Common Stock (3362) | Direct |
| 2012-11-16 | Stock Option (right to buy) | $10.25 | A | 6725 | Acquired | 2022-11-16 | Common Stock (6725) | Direct |
| 2012-11-16 | Stock Option (right to buy) | $10.25 | A | 8325 | Acquired | 2022-11-16 | Common Stock (8325) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 37052 | Direct |
| Common Stock | 601668 | Indirect |
Footnotes
F1: These shares are held directly by Inter Alia Holding Company of which G. Patrick Lynch is an officer and stockholder. Mr. G. Patrick Lynch disclaims beneficial ownership of the shares held by Inter Alia Holding Company, except to the extent of his pecuniary interest therein.
F2: This option vests with respect to 3,362 shares on November 16, 2013 and with respect to 3,363 shares on November 16, 2014.
F3: This option vests with respect to 2,775 shares on each of November 16, 2013, November 16, 2014 and November 16, 2015.