ARI NETWORK SERVICES INC /WI Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 7 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-11-22: Reporting owner MORTIMORE WILLIAM C; Form 4; Security Employee Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-11-03: Reporting owner Ostermann Robert; Form 3; Security Employee Stock Options (Right to Buy); Transaction Holding.
- 2016-11-03: Reporting owner Ostermann Robert; Form 3; Security Employee Stock Options (Right to Buy); Transaction Holding.
- 2016-11-03: Reporting owner Ostermann Robert; Form 3; Security Employee Stock Options (Right to Buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-11-22 | MORTIMORE WILLIAM C Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 0 owned after | $1.94 exercise price | 2016-11-23 | |
| 2016-11-03 holding as of filing | Ostermann Robert Officer (Chief Technology Officer) | 3 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | $1.50 exercise price | 2016-11-03 | ||
| 2016-11-03 holding as of filing | Ostermann Robert Officer (Chief Technology Officer) | 3 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | $0.85 exercise price | 2016-11-03 | ||
| 2016-11-03 holding as of filing | Ostermann Robert Officer (Chief Technology Officer) | 3 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | $0.92 exercise price | 2016-11-03 | ||
| 2016-11-03 holding as of filing | Ostermann Robert Officer (Chief Technology Officer) | 3 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | $1.25 exercise price | 2016-11-03 | ||
| 2016-11-03 holding as of filing | Ostermann Robert Officer (Chief Technology Officer) | 3 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | $1.51 exercise price | 2016-11-03 | ||
| 2016-07-18 | OLIVIER ROY W Director, Officer (President and CEO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 0 owned after | $2.10 exercise price | 2016-07-19 |