SCKT insider filing: David Holmes receives 25,000 options at $1.02

Rhea-AI Filing Summary

David A. Holmes, Executive Vice President and Chief Business Officer of Socket Mobile, Inc. (SCKT), reported an equity award consisting of a 25,000-share option with a $1.02 exercise price. The option grant is shown as a derivative security exercisable beginning 10/01/2025 with an expiration of 10/01/2035 and is recorded as direct beneficial ownership. The filing lists the number of underlying common shares from this award as 25,000 and shows the Reporting Person owning 125,000 shares following the reported transaction.

The award was granted in connection with Mr. Holmes’s promotion to EVP and Chief Business Officer and vests in equal monthly installments over 24 months beginning 10/01/2025, subject to continued service. The form is a Section 16 filing and discloses the specific terms above without additional financial or company operational detail.

Positive

• Promotion-linked award granted in connection with the Reporting Person's promotion to EVP and Chief Business Officer, aligning pay with role change
• Time-based vesting over 24 months beginning 10/01/2025 encourages retention and continued service
• Clear grant terms disclosed: 25,000 options, $1.02 exercise price, exercisable 10/01/2025 to 10/01/2035, and reported direct ownership of 125,000 shares

Negative

• None.

Insights

Corporate Governance Expert

TL;DR: Standard executive option grant tied to promotion with time-based vesting to retain the executive.

The grant aligns with a common practice of compensating and retaining newly promoted executives through time-based stock options. The reported terms—25,000 options at a $1.02 exercise price with a 10-year term and a 24-month monthly vesting schedule—are straightforward and transparent. The filing documents direct ownership changes and the vesting commencement date. There is no disclosure here of performance conditions, accelerated vesting, or other special terms that would materially alter governance assessment.

Compensation Analyst

TL;DR: Compensation appears routine and retention-focused; size relative to total outstanding shares is not disclosed.

The option award size and strike price are clearly specified and tied to a promotion. Monthly vesting over 24 months suggests a focused retention incentive. The filing lacks context on total dilution, grant-date fair value, or how this award compares to prior grants, so its materiality to shareholder dilution or overall compensation expense cannot be determined from this form alone.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Holmes David A.

Role EVP & Chief Business Officer

Type	Security	Shares	Price	Value
Grant/Award	Common Stock Option	25,000	$0.00	--

Holdings After Transaction: Common Stock Option — 125,000 shares (Direct)

Footnotes (1)

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Form 4 Insider Transactions: What Each Field Means →

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).

1. Name and Address of Reporting Person^*

Holmes David A.

(Last) (First) (Middle)

40675 ENCYCLOPEDIA CIRCLE

(Street)

FREMONT CA 94538

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
SOCKET MOBILE, INC. [ SCKT ]

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

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	EVP & Chief Business Officer

3. Date of Earliest Transaction (Month/Day/Year)
09/29/2025

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

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
Common Stock Option	$1.02	10/01/2025		A		25,000		(1)	10/01/2035	Common	25,000	$0	125,000	D

Explanation of Responses:

1. The shares of common stock subject to the option award granted to the Reporting Person in connection with his promotion to Executive Vice President and Chief Business Officer shall vest in equal monthly installments over 24 months beginning October 1, 2025, subject to the Reporting Person's continued service relationship with the company through each applicable vesting date.

	/s/ David Holmes	10/01/2025
	** 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.

FAQ

What did David A. Holmes report on the Form 4 for SCKT?

The Form 4 reports a grant of 25,000 stock options to David A. Holmes with a $1.02 exercise price and reported direct ownership of 125,000 shares following the transaction.

When do the options awarded to the SCKT executive vest and expire?

The options vest in equal monthly installments over 24 months beginning 10/01/2025 and have an expiration date of 10/01/2035.

What is the relation of the reporting person to Socket Mobile (SCKT)?

The reporting person, David A. Holmes, is listed as an Officer with the title Executive Vice President and Chief Business Officer and also a Director.

What is the exercise price and number of underlying shares for the option grant?

The option has an exercise price of $1.02 and covers 25,000 underlying common shares.

Does the Form 4 disclose any performance conditions for the award?

No. The filing discloses only a time-based vesting schedule and continued service requirement; no performance-based conditions are stated.