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Simulations Plus, Inc. — Director's Dealing 2021
Jan 30, 2021
33301_dirs_2021-01-29_75b756a4-df5f-4ac3-aa89-7eb034406ecf.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: SIMULATIONS PLUS INC (SLP)
CIK: 0001023459
Period of Report: 2021-01-27
Reporting Person: Paglia John Kenneth (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-01-27 | Common Stock | S | 3808 | $82.0988 | Disposed | 0 | Direct |
| 2021-01-27 | Common Stock | M | 3750 | $6.75 | Acquired | 3750 | Direct |
| 2021-01-27 | Common Stock | F | 316 | $80.18 | Disposed | 3434 | Direct |
| 2021-01-27 | Common Stock | M | 5000 | $8.62 | Acquired | 8434 | Direct |
| 2021-01-27 | Common Stock | F | 538 | $80.18 | Disposed | 7896 | Direct |
| 2021-01-27 | Common Stock | M | 3750 | $14.50 | Acquired | 11646 | Direct |
| 2021-01-27 | Common Stock | F | 678 | $80.18 | Disposed | 10968 | Direct |
| 2021-01-27 | Common Stock | M | 4000 | $34.23 | Acquired | 14968 | Direct |
| 2021-01-27 | Common Stock | F | 1708 | $80.18 | Disposed | 13260 | Direct |
| 2021-01-29 | Common Stock | S | 13260 | $79.2477 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-01-27 | Stock Option (Right to Buy) | $6.75 | M | 3750 | Disposed | 2025-08-31 | Common Stock (3750) | Direct |
| 2021-01-27 | Stock Option (Right to Buy) | $8.62 | M | 5000 | Disposed | 2026-08-31 | Common Stock (5000) | Direct |
| 2021-01-27 | Stock Option (Right to Buy) | $14.5 | M | 3750 | Disposed | 2027-08-31 | Common Stock (3750) | Direct |
| 2021-01-27 | Stock Option (Right to Buy) | $34.23 | M | 4000 | Disposed | 2029-07-19 | Common Stock (4000) | Direct |
Footnotes
F1: Reflects the weighted-average sale price for an aggregate of 13,260 shares sold in multiple transactions at prices ranging from $79.00 to $79.80 per share. Reporting person undertakes to provide upon
request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
F2: Fully Vested
F3: The option is vested over a three year period with 40% on the first anniversary of the date of grant and continuing to vest as to the
2nd and 3rd installment on the 2nd and 3rd anniversary date thereafter at 30%.