[Form 4] OPTICAL CABLE CORP Insider Trading Activity

Rhea-AI Filing Summary

Optical Cable Corporation’s SVP and CFO Tracy G. Smith reported a tax-related share transaction. On 01/31/2026, Smith surrendered 4,341 shares of common stock at $4.93 per share under the company’s 2017 Stock Incentive Plan to cover taxes on previously granted restricted shares. After this withholding transaction, Smith directly beneficially owned 346,311 shares of Optical Cable common stock.

Insider Trade Summary

Net Seller: 4,341 shares

Net Sell 1 txn

Insider SMITH TRACY G

Role SVP and CFO

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	4,341	$4.93	$21K

Holdings After Transaction: Common Stock — 346,311 shares (Direct)

Footnotes (1)

1. F1. 4,341 shares are being surrendered as allowed by the Company's 2017 Stock Incentive Plan to cover the payment of taxes currently due on previously granted restricted shares.

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Form 4 Insider Transactions: What Each Field Means →

Accepted by SEC EDGAR 02/03/2026 - 04:48 PM Learn about SEC filing dates

FAQ

What insider transaction did OCC SVP and CFO Tracy G. Smith report?

Tracy G. Smith reported surrendering 4,341 shares of Optical Cable common stock. The shares were withheld to pay taxes due on previously granted restricted stock, as permitted under the company’s 2017 Stock Incentive Plan, rather than representing an open-market sale.

On what date did the reported OCC insider transaction occur?

The reported insider transaction occurred on January 31, 2026. This date reflects when 4,341 Optical Cable common shares were surrendered to cover tax obligations on earlier restricted share grants under the company’s 2017 Stock Incentive Plan.

What price per share was used for Tracy G. Smith’s OCC tax withholding?

The tax-withholding surrender used a price of $4.93 per share. This value was applied to 4,341 Optical Cable common shares surrendered under the 2017 Stock Incentive Plan to satisfy current tax liabilities tied to prior restricted share awards.

How many OCC shares does Tracy G. Smith own after this Form 4 transaction?

After the transaction, Tracy G. Smith beneficially owns 346,311 Optical Cable common shares directly. This balance reflects the position remaining once 4,341 shares were surrendered to cover tax obligations on previously granted restricted stock under the 2017 Stock Incentive Plan.

Was the OCC insider transaction an open-market sale or a tax withholding?

The transaction was a tax withholding, not an open-market sale. Optical Cable’s 2017 Stock Incentive Plan allowed 4,341 previously granted restricted shares to be surrendered to cover taxes currently due, as noted in the Form 4 explanation of responses.

What plan governed the OCC shares surrendered by Tracy G. Smith?

The surrender of 4,341 shares was governed by Optical Cable’s 2017 Stock Incentive Plan. That plan permits using previously granted restricted shares to satisfy tax obligations, which is how this Form 4 transaction for SVP and CFO Tracy G. Smith was structured.

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^*

SMITH TRACY G

(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)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	SVP and CFO

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		4,341(1)	D	$4.93	346,311	D

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. 4,341 shares are being surrendered as allowed by the Company's 2017 Stock Incentive Plan to cover the payment of taxes currently due on previously granted restricted shares.

	/s/ Tracy G. Smith	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.