OCC CEO surrenders 8,000 shares for tax payment

Optical Cable Corp Chairman, President and CEO Neil D. Wilkin Jr. reported a Form 4 transaction involving company common stock.

Rhea-AI Filing Summary

Optical Cable Corp Chairman, President and CEO Neil D. Wilkin Jr. reported a Form 4 transaction involving company common stock. On 01/31/2026, he surrendered 8,000 shares at $4.93 per share to pay taxes due on previously granted restricted shares under the company’s 2017 Stock Incentive Plan, paying the remaining taxes in cash.

After this tax-withholding transaction, Wilkin beneficially owned 1,035,155 common shares directly. In addition, 22,595 shares are held indirectly by Wilkin Capital Fund I, LLC for his benefit. Small indirect holdings are reported for his four children, but he expressly disclaims beneficial ownership of those shares.

Insider Trade Summary

Exercise Price or Tax Liability: 8,000 shares

Exercise Price or Tax Liability 6 txns

Insider WILKIN NEIL D JR

Role Chairman, President and CEO

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	8,000	$4.93	$39K
holding	Common Stock	--	--	--
holding	Common Stock	--	--	--
holding	Common Stock	--	--	--
holding	Common Stock	--	--	--
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 1,035,155 shares (Direct); Common Stock — 22,595 shares (Indirect, By Wilkin Capital Fund I, LLC); Common Stock — 315 shares (Indirect, By Daughter #1); Common Stock — 315 shares (Indirect, By Daughter #2); Common Stock — 115 shares (Indirect, By Daughter #3); Common Stock — 315 shares (Indirect, By Son)

Footnotes (3)

1. F1. 8,000 shares are being surrendered as allowed by the Company's 2017 Stock Incentive Plan for the payment of taxes currently due on previously granted restricted shares. Mr. Wilkin is surrendering 8,000 shares as partial payment of the taxes due, and paying cash for the remainder of the taxes due.
2. F2. The shares are held by Wilkin Capital Fund I, LLC for the benefit of Neil D. Wilkin, Jr.
3. F3. The reporting person disclaims beneficial ownership of all securities held by his children, and this report should not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

FAQ

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What insider transaction did OCC Chairman and CEO Neil D. Wilkin Jr. report?

Neil D. Wilkin Jr. reported surrendering 8,000 Optical Cable Corp common shares to cover taxes on previously granted restricted stock. The shares were valued at $4.93 each and were used as partial payment, with the remaining tax obligations paid in cash.

Why were 8,000 shares of Optical Cable Corp (OCC) stock surrendered?

The 8,000 OCC shares were surrendered under the company’s 2017 Stock Incentive Plan to pay taxes currently due on previously granted restricted shares. This is a tax-withholding mechanism, not an open‑market sale, with additional taxes paid by Neil D. Wilkin Jr. in cash.

How many Optical Cable Corp shares does Neil D. Wilkin Jr. own after this Form 4?

After the reported transaction, Neil D. Wilkin Jr. directly beneficially owned 1,035,155 shares of Optical Cable Corp common stock. This figure reflects his holdings following the surrender of 8,000 shares for tax purposes related to restricted stock awards.

What indirect Optical Cable Corp holdings are reported for Neil D. Wilkin Jr.?

The filing shows 22,595 OCC common shares held indirectly by Wilkin Capital Fund I, LLC for the benefit of Neil D. Wilkin Jr. Additional small indirect holdings are reported in the names of his children, though he disclaims beneficial ownership of those shares.

Does Neil D. Wilkin Jr. claim beneficial ownership of OCC shares held by his children?

No. Neil D. Wilkin Jr. explicitly disclaims beneficial ownership of all Optical Cable Corp shares reported as held by his children. The filing states it should not be deemed an admission that he is the beneficial owner of those securities for Section 16 or any other purpose.

What does transaction code "F" mean in the OCC Form 4 filing?

In this Form 4, the "F" transaction code indicates shares were surrendered to satisfy tax obligations on equity awards. Specifically, 8,000 Optical Cable Corp shares were withheld under the 2017 Stock Incentive Plan to pay taxes owed on previously granted restricted stock.

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Accepted by SEC EDGAR 02/03/2026 - 04:47 PM Learn about SEC filing dates

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

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

WILKIN NEIL D JR

(Last) (First) (Middle)

5290 CONCOURSE DRIVE

(Street)

ROANOKE VA 24019

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
OPTICAL CABLE CORP [ OCC ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	X	10% Owner
X	Officer (give title below)		Other (specify below)
	Chairman, President and CEO

3. Date of Earliest Transaction (Month/Day/Year)
01/31/2026

4. If Amendment, Date of Original Filed (Month/Day/Year)

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. 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	01/31/2026		F		8,000(1)	D	$4.93	1,035,155	D
Common Stock								22,595	I	By Wilkin Capital Fund I, LLC(2)
Common Stock								315	I	By Daughter #1(3)
Common Stock								315	I	By Daughter #2(3)
Common Stock								115	I	By Daughter #3(3)
Common Stock								315	I	By Son(3)

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

Explanation of Responses:

1. 8,000 shares are being surrendered as allowed by the Company's 2017 Stock Incentive Plan for the payment of taxes currently due on previously granted restricted shares. Mr. Wilkin is surrendering 8,000 shares as partial payment of the taxes due, and paying cash for the remainder of the taxes due.

2. The shares are held by Wilkin Capital Fund I, LLC for the benefit of Neil D. Wilkin, Jr.

3. The reporting person disclaims beneficial ownership of all securities held by his children, and this report should not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

	/s/ Neil D. Wilkin, Jr.	02/03/2026
	** 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.