ALANCO TECHNOLOGIES INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 74 rows, 74 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-11-05: Reporting owner LAVOY THOMAS C; Form 4; Security Class A Common Stock Options; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-11-05: Reporting owner HECKER JAMES T; Form 4; Security Class A Common Stock Options; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-11-05: Reporting owner CARPENTER HAROLD S; Form 4; Security Class A Common Stock Options; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-11-05: Reporting owner Haney Danielle L; Form 4; Security Class A Common Stock Options; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-11-05 | LAVOY THOMAS C Director | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,000 170,000 owned after | $0.50 | 2014-11-07 | |
| 2014-11-05 | HECKER JAMES T Director | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,000 230,000 owned after | $0.50 | 2014-11-07 | |
| 2014-11-05 | CARPENTER HAROLD S Director | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,000 190,000 owned after | $0.50 | 2014-11-07 | |
| 2014-11-05 | Haney Danielle L Officer (Chief Financial Officer) | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 95,000 owned after | $0.50 | 2014-11-07 | |
| 2014-11-05 | CARLSON JOHN A Director, Officer (Chief Executive Officer) | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 305,000 owned after | $0.50 | 2014-11-07 | |
| 2012-04-11 | HECKER JAMES T Director | 4 | Class A Common Stock Options Derivative · Direct | H Expiration (or cancellation) of long derivative position with value received | −37,750 1,250 owned after | $1.50 | 2012-04-13 | |
| 2012-04-11 | HECKER JAMES T Director | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 76,250 owned after | $0.75 | 2012-04-13 | |
| 2012-04-11 | CARPENTER HAROLD S Director | 4 | Class A Common Stock Options Derivative · Direct | H Expiration (or cancellation) of long derivative position with value received | −41,750 0 owned after | $1.50 | 2012-04-13 | |
| 2012-04-11 | LAVOY THOMAS C Director | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $0.75 | 2012-04-13 | |
| 2012-04-11 | CARLSON JOHN A Director, Officer (Chief Financial Officer) | 4 | Class A Common Stock Options Derivative · Direct | H Expiration (or cancellation) of long derivative position with value received | −86,625 2,500 owned after | $1.50 | 2012-04-13 | |
| 2012-04-11 | CARLSON JOHN A Director, Officer (Chief Financial Officer) | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +130,000 132,500 owned after | $0.75 | 2012-04-13 | |
| 2012-04-11 | KAUFFMAN ROBERT R Director, Officer (Chief Executive Officer) | 4 | Class A Common Stock Options Derivative · Direct | H Expiration (or cancellation) of long derivative position with value received | −164,750 12,500 owned after | $1.50 | 2012-04-13 | |
| 2012-04-11 | KAUFFMAN ROBERT R Director, Officer (Chief Executive Officer) | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 262,500 owned after | $0.75 | 2012-04-13 | |
| 2011-06-30 | LAVOY THOMAS C Director | 4 | Class A Common Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −800 0 owned after | $1.50 exercise price | 2011-07-06 | |
| 2011-06-30 | LAVOY THOMAS C Director | 4 | Class A Common Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −800 0 owned after | $1.50 exercise price | 2011-07-06 | |
| 2011-06-30 | LAVOY THOMAS C Director | 4 | Class A Common Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,200 0 owned after | $1.50 exercise price | 2011-07-06 | |
| 2011-06-30 | LAVOY THOMAS C Director | 4 | Class A Common Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,200 0 owned after | $1.50 exercise price | 2011-07-06 | |
| 2011-06-30 | LAVOY THOMAS C Director | 4 | Class A Common Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 0 owned after | $1.50 exercise price | 2011-07-06 | |
| 2011-06-30 | LAVOY THOMAS C Director | 4 | Class A Common Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 0 owned after | $1.50 exercise price | 2011-07-06 | |
| 2011-06-30 | LAVOY THOMAS C Director | 4 | Class A Common Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $1.50 exercise price | 2011-07-06 | |
| 2011-06-30 | LAVOY THOMAS C Director | 4 | Class A Common Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,375 0 owned after | $1.50 exercise price | 2011-07-06 | |
| 2011-06-30 | LAVOY THOMAS C Director | 4 | Class A Common Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,375 0 owned after | $1.50 exercise price | 2011-07-06 | |
| 2009-09-08 | CARLSON JOHN A Director, Officer (Chief Financial Officer) | 4 | Class A Common Stock Options Derivative · Direct | J Other acquisition or disposition (describe transaction) | −32,000 0 owned after | $0.50 | 2009-09-10 | |
| 2009-09-08 | LAVOY THOMAS C Director | 4 | Class A Common Stock Options Derivative · Direct | J Other acquisition or disposition (describe transaction) | −6,400 0 owned after | $0.50 | 2009-09-10 | |
| 2009-09-08 | CARPENTER HAROLD S Director | 4 | Class A Common Stock Options Derivative · Direct | J Other acquisition or disposition (describe transaction) | −12,800 0 owned after | $0.50 | 2009-09-10 | |
| 2009-09-08 | KAUFFMAN ROBERT R Director, Officer (CEO) | 4 | Class A Common Stock Options Derivative · Direct | J Other acquisition or disposition (describe transaction) | −64,000 0 owned after | $0.50 | 2009-09-10 | |
| 2009-07-13 | OESTER GREG M Officer (Pres - Wholly Owned Subsidiary) | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $0.50 | 2009-07-23 | |
| 2009-07-13 | Robinson Thomas A Officer (V.P. - Wholly Owned Subsidiary) | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $0.50 | 2009-07-23 | |
| 2009-07-13 | Slifkin Timothy P Officer (CEO - Wholly Owned Subsidiary) | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $0.50 | 2009-07-23 | |
| 2009-07-13 | CARLSON JOHN A Director, Officer (Chief Financial Officer) | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +125,000 125,000 owned after | $0.50 | 2009-07-23 | |
| 2009-07-13 | KAUFFMAN ROBERT R Director, Officer (CEO) | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $0.50 | 2009-07-23 | |
| 2009-07-13 | HECKER JAMES T Director | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $0.50 | 2009-07-23 | |
| 2009-07-13 | ANDERSON DONALD E Director | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $0.50 | 2009-07-23 | |
| 2009-07-13 | LAVOY THOMAS C Director | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $0.50 | 2009-07-23 | |
| 2009-07-13 | CARPENTER HAROLD S Director | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $0.50 | 2009-07-23 | |
| 2009-06-15 | HECKER JAMES T Director | 4 | Class A Common Stock Options Derivative · Direct | J Other acquisition or disposition (describe transaction) | −6,400 0 owned after | $0.50 | 2009-08-19 | |
| 2009-06-15 | OESTER GREG M Officer (Pres - Wholly Owned Subsidiary) | 4 | Class A Common Stock Options Derivative · Direct | J Other acquisition or disposition (describe transaction) | −16,000 0 owned after | $0.50 | 2009-08-19 | |
| 2009-04-15 | CARLSON JOHN A Director, Officer (Chief Financial Officer) | 4 | Class A Common Stock Options Derivative · Direct | J Other acquisition or disposition (describe transaction) | −20,000 0 owned after | $2.50 | 2009-08-19 | |
| 2009-04-15 | OESTER GREG M Officer (Pres - Wholly Owned Subsidiary) | 4 | Class A Common Stock Options Derivative · Direct | J Other acquisition or disposition (describe transaction) | −10,000 0 owned after | $2.50 | 2009-08-19 | |
| 2009-04-06 | HECKER JAMES T Director | 4 | Class A Common Stock Options Derivative · Direct | J Other acquisition or disposition (describe transaction) | −8,000 0 owned after | $2.50 | 2009-08-19 | |
| 2008-09-09 | CARLSON JOHN A Director, Officer (CFO) | 4 | Class A Common Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −36,000 0 owned after | $1.07 | 2008-09-11 | |
| 2008-08-19 | Slifkin Timothy P Director, Officer (CEO - Wholly Owned Subsidiary) | 4 | Class A Common Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $1.20 | 2008-08-21 | |
| 2008-08-19 | CARPENTER HAROLD S Director | 4 | Class A Common Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $1.20 | 2008-08-21 | |
| 2008-08-19 | Robinson Thomas A Officer (V.P. - Wholly Owned Subsidiary) | 4 | Class A Common Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $1.20 | 2008-08-21 | |
| 2008-08-19 | LAVOY THOMAS C Director | 4 | Class A Common Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $1.20 | 2008-08-21 | |
| 2008-08-19 | ANDERSON DONALD E Director | 4 | Class A Common Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $1.20 | 2008-08-21 | |
| 2008-08-19 | HECKER JAMES T Director | 4 | Class A Common Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $1.20 | 2008-08-21 | |
| 2008-08-19 | OESTER GREG M Officer (Pres - Wholly Owned Subsidiary) | 4 | Class A Common Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.20 | 2008-08-21 | |
| 2008-08-19 | CARLSON JOHN A Director, Officer (CFO) | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +120,000 120,000 owned after | $1.20 | 2008-08-21 | |
| 2008-08-19 | KAUFFMAN ROBERT R Director, Officer (CEO) | 4 | Class A Common Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $1.20 | 2008-08-21 | |
| 2008-08-19 | KAUFFMAN ROBERT R Director, Officer (CEO) | 4 | Class A Common Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −192,000 0 owned after | $1.07 | 2008-08-21 | |
| 2007-10-05 | Slifkin Timothy P Director, Officer (CEO - Wholly Owned Subsidiary) | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $2.00 | 2007-10-09 | |
| 2007-10-05 | Robinson Thomas A Officer (V.P. - Wholly Owned Subsidiary) | 4 | Class A Common Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $2.00 | 2007-10-09 | |
| 2007-10-05 | LAVOY THOMAS C Director | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $2.00 | 2007-10-09 | |
| 2007-10-05 | HECKER JAMES T Director | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $2.00 | 2007-10-09 | |
| 2007-10-05 | ANDERSON DONALD E Director | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $2.00 | 2007-10-09 | |
| 2007-10-05 | OESTER GREG M Officer (Pres - Wholly Owned Subsidiary) | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $2.00 | 2007-10-09 | |
| 2007-10-05 | CARPENTER HAROLD S Director | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $2.00 | 2007-10-09 | |
| 2007-10-05 | CARLSON JOHN A Director, Officer (CFO) | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $2.00 | 2007-10-09 | |
| 2007-10-05 | KAUFFMAN ROBERT R Director, Officer (CEO) | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $2.00 | 2007-10-09 | |
| 2007-04-23 | KAUFFMAN ROBERT R Director, Officer (Chief Executive Officer) | 4 | Class A Common Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −200,000 192,000 owned after | $1.07 | 2007-04-25 | |
| 2006-08-15 | KAUFFMAN ROBERT R Director, Officer (CEO) | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $0.55 | 2006-08-15 | |
| 2006-08-15 | CARPENTER HAROLD S Director | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.55 | 2006-08-15 | |
| 2006-08-15 | ANDERSON DONALD E Director | 4 | Class A Common Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $0.55 | 2006-08-15 | |
| 2006-08-15 | CARLSON JOHN A Director, Officer (CFO) | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $0.55 | 2006-08-15 | |
| 2006-07-11 holding as of filing | Slifkin Timothy P Officer (CEO StarTrak) | 3 | Class A Common Stock Option Derivative · Direct | Holding | $0.73 exercise price | 2006-07-11 | ||
| 2006-07-11 holding as of filing | Robinson Thomas A Officer (Exec VP StarTrak) | 3 | Class A Common Stock Option Derivative · Direct | Holding | $0.73 exercise price | 2006-07-11 | ||
| 2006-06-30 | LAVOY THOMAS C Director | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.73 | 2006-07-11 | |
| 2006-06-30 | KAUFFMAN ROBERT R Director, Officer (Chief Executive Officer) | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500,000 500,000 owned after | $0.73 | 2006-07-11 | |
| 2006-06-30 | HECKER JAMES T Director | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.73 | 2006-07-11 | |
| 2006-06-30 | CARPENTER HAROLD S Director | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.73 | 2006-07-11 | |
| 2006-06-30 | CARLSON JOHN A Director, Officer (Chief Financial Officer) | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $0.73 | 2006-07-11 | |
| 2006-06-30 | ANDERSON DONALD E Director | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.73 | 2006-07-11 | |
| 2006-06-30 | OMAN STEVE P Director | 4 | Class A Common Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $0.73 | 2006-07-11 |