Annual Statement of Changes in Beneficial Ownership (5)
December 18 2015 - 3:22PM
Edgar (US Regulatory)
FORM 5
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
[ ]
Form 3 Holdings Reported
[
X
]
Form 4 Transactions Reported
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0362
Estimated average burden
hours per response...
1.0
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Dancy Joseph R
|
2. Issuer Name
and
Ticker or Trading Symbol
ARTS WAY MANUFACTURING CO INC [ARTW]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Last)
(First)
(Middle)
1007 BEAVER CREEK DRIVE
|
3. Statement for Issuer's Fiscal Year Ended
(MM/DD/YYYY)
11/30/2015
|
(Street)
DUNCANVILLE, TX 75137
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form Filed by One Reporting Person
___ 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. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. 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)
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
10/2/2015
|
|
S4
|
2785
|
D
|
$3.1708
(1)
|
39215
|
I
|
As sole owner of general partner of LSGI Technology Venture Fund, L.P.
(2)
|
Common Stock
|
10/8/2015
|
|
S4
|
4128
|
D
|
$2.983
(3)
|
35087
|
I
|
As sole owner of general partner of LSGI Technology Venture Fund, L.P.
(2)
|
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. 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
(MM/DD/YYYY)
|
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 at End of Issuer's Fiscal Year
(Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
|
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Explanation of Responses:
|
(
1)
|
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.0969 to $3.2491inclusive. The reporting person undertakes to provide Art's-Way Manufacturing Co., Inc., any security holder of Art's-Way Manufacturing Co., Inc. 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 range set forth in this footnote.
|
(
2)
|
The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
|
(
3)
|
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.9499 to $3.0068 inclusive. The reporting person undertakes to provide Art's-Way Manufacturing Co., Inc., any security holder of Art's-Way Manufacturing Co., Inc. 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 range set forth in this footnote.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Dancy Joseph R
1007 BEAVER CREEK DRIVE
DUNCANVILLE, TX 75137
|
X
|
|
|
|
Signatures
|
/s/ Elizabeth Dunshee as attorney-in-fact for Joseph R. Dancy pursuant to power of attorney previously filed.
|
|
12/18/2015
|
**
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 control number.
|
Arts Way Manufacturing (NASDAQ:ARTW)
Historical Stock Chart
From Mar 2024 to Apr 2024
Arts Way Manufacturing (NASDAQ:ARTW)
Historical Stock Chart
From Apr 2023 to Apr 2024