SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Estate of Albert W. Ondis

(Last) (First) (Middle)
600 EAST GREENWICH AVENUE

(Street)
WEST WARWICK RI 02893

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
ASTRO MED INC /NEW/ [ ALOT ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
09/02/2014
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 09/02/2014 S (1) 507 D $13.6207 (2) (3) 1,434,873 D (4)
Common Stock 09/03/2014 S (1) 2,200 D $13.6018 (3) (5) 1,432,673 D (4)
Common Stock 3,858 I Held under the issuer's Employee Stock Ownership Plan for the account of Albert W. Ondis (6)
Common Stock 317 I Held under the issuer's Employee Stock Ownership Plan for the account of Albert W. Ondis, III (7)
Common Stock 1,658 I Held in trust for a child of Albert W. Ondis, III (8)
Common Stock 122,097 D (9)
Common Stock 5,614 I Held in trust for a child of Alexis Ondis (10)
Common Stock 122,096 D (11)
Common Stock 650 I Held under the issuer's Employee Stock Ownership Plan for the account of April Ondis (12)
Common Stock 124,475 D (13)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
1. Name and Address of Reporting Person*
Estate of Albert W. Ondis

(Last) (First) (Middle)
600 EAST GREENWICH AVENUE

(Street)
WEST WARWICK RI 02893

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Ondis Albert W. III

(Last) (First) (Middle)
C/O ASTRO-MED, INC.
600 EAST GREENWICH AVENUE

(Street)
WEST WARWICK RI 02893

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Ondis Alexis

(Last) (First) (Middle)
C/O ASTRO-MED, INC.
600 EAST GREENWICH AVENUE

(Street)
WEST WARWICK RI 02893

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Ondis April

(Last) (First) (Middle)
C/O ASTRO-MED, INC.
600 EAST GREENWICH AVENUE

(Street)
WEST WARWICK RI 02893

(City) (State) (Zip)
Explanation of Responses:
1. The sale was made pursuant to the Rule 10b5-1 Trading Plan of the Estate of Albert W. Ondis.
2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.60 to $13.66, inclusive.
3. The reporting persons undertake to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) and (5) to this Form 4.
4. These shares are owned directly by the Estate of Albert W. Ondis and indirectly by Albert W. Ondis, III, Alexis Ondis and April Ondis, as co-executors of the Estate of Albert W. Ondis.
5. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.60 to $13.63, inclusive.
6. These shares are owned indirectly by the Estate of Albert W. Ondis and each of Albert W. Ondis, III, Alexis Ondis and April Ondis, as co-executors of the Estate of Albert W. Ondis.
7. These shares are owned indirectly by Albert W. Ondis, III.
8. These shares are owned indirectly by Albert W. Ondis, III, as trustee of a trust for a child of Albert W. Ondis, III.
9. These shares are owned directly by Albert W. Ondis, III.
10. These shares are owned indirectly by Alexis Ondis, as trustee of a trust for a child of Alexis Ondis.
11. These shares are owned directly by Alexis Ondis.
12. These shares are owned indirectly by April Ondis.
13. These shares are owned directly by April Ondis.
Remarks:
Albert W. Ondis, III, Alexis Ondis and April Ondis are each co-executors of the Estate of Albert W. Ondis and ten percent owners of the issuer.
Margaret D. Farrell (Attorney-in-fact for the Estate of Albert W. Ondis) 09/04/2014
Margaret D. Farrell (Attorney-in-fact for Albert W. Ondis, III) 09/04/2014
Margaret D. Farrell (Attorney-in-fact for Alexis Ondis) 09/04/2014
Margaret D. Farrell (Attorney-in-fact for April Ondis) 09/04/2014
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (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).
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