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*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
AstroNova, Inc. [ ALOT ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 05/02/2017 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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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 | 05/02/2017 | S | 826,305(1) | D | $13.6 | 204,530(2) | I(3)(4) | Trustee(5) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. These securities were owned by the Albert W. Ondis Declaration of Trust (the "Trust"), of which Albert W. Ondis III is the sole trustee. Each of the Trust and Albert W. Ondis III has a beneficial interest in such shares and for purposes of Schedule 13(d) of the Exchange Act, the Trust is a member of a "group" with Albert W. Ondis III. |
2. Following this transaction, the Trust is the beneficial owner of 36,000 shares of common stock the Issuer and Albert W. Ondis III is the beneficial owner of 168,530 shares of common stock of the Issuer (includes the 36,000 of the shares of common stock of the Issuer held by the Trust, of which Albert W. Ondis III is the sole trustee; 1,658 shares of common stock of the Issuer held in trust for a child of Albert W. Ondis III; and 130,872 shares of common stock of the Issuer owned personally by Albert W. Ondis III). |
3. The Trust is the Direct owner of 36,000 shares of common stock the Issuer. |
4. Albert W. Ondis III is the Indirect owner of 37,658 shares of common stock of the Issuer (includes the 36,000 of the shares of common stock of the Issuer held by the Trust, of which Albert W. Ondis III is the sole trustee, and 1,658 shares of common stock of the Issuer held in trust for a child of Albert W. Ondis III). Albert W. Ondis III is the Direct owner of 130,872 shares of common stock of the Issuer. |
5. By Albert W. Ondis III as trustee for Albert W. Ondis Declaration of Trust. |
/s/ Margaret D. Farrell (Attorney-in-fact for Albert W. Ondis, trustee) | 05/04/2017 | |
** 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |