0001144204-16-138978.txt : 20161212 0001144204-16-138978.hdr.sgml : 20161212 20161212161819 ACCESSION NUMBER: 0001144204-16-138978 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161208 FILED AS OF DATE: 20161212 DATE AS OF CHANGE: 20161212 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SMITH MIDLAND CORP CENTRAL INDEX KEY: 0000924719 STANDARD INDUSTRIAL CLASSIFICATION: CONCRETE PRODUCTS, EXCEPT BLOCK & BRICK [3272] IRS NUMBER: 541727060 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ROUTE 28 STREET 2: P O BOX 300 CITY: MIDLAND STATE: VA ZIP: 22728 BUSINESS PHONE: 5404393266 MAIL ADDRESS: STREET 1: RT 28 STREET 2: PO BOX 300 CITY: MIDLAND STATE: VA ZIP: 22728 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SMITH ASHLEY B CENTRAL INDEX KEY: 0001274098 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13752 FILM NUMBER: 162046472 MAIL ADDRESS: STREET 1: C/O SMITH MIDLAND CORP STREET 2: 5119 CATLETT ROAD CITY: MIDLAND STATE: VA ZIP: 22728 4 1 v454852_form4.xml OWNERSHIP DOCUMENT X0306 4 2016-12-08 0 0000924719 SMITH MIDLAND CORP SMID 0001274098 SMITH ASHLEY B C/O SMITH-MIDLAND CORPORATION 5119 CATLETT ROAD MIDLAND VA 22728 1 1 0 0 President Common Stock 2016-12-08 4 S 0 4000 4.85 D 142417 D Common Stock 2016-12-08 4 S 0 2650 4.80 D 139767 D Common Stock 2016-12-12 4 M 0 7000 2.15 A 139767 D Common Stock 2016-12-12 4 M 0 14800 1.21 A 139767 D Option (Right to Buy) 2.15 2016-12-12 4 M 0 7000 0 A 2017-05-21 Common Stock 7000 0 D Option (Right to Buy) 1.21 2016-12-12 4 M 0 14800 0 A 2018-06-30 Common Stock 14800 0 D Options became exercisable cumulatively to the extent of 1/3 of the number of underlying shares on each of May 22, 2008, 2009 and 2010. Options became exercisable cumulatively to the extent of 1/3 of the number of underlying shares on each of June 30, 2009, 2010 and 2011. /s/ Ashley B. Smith 2016-12-12