ARI NETWORK SERVICES INC /WI Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 18 rows, 18 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-08-29: Reporting owner Ostermann Robert; Form 4; Security Restricted Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-08-29: Reporting owner Ostermann Robert; Form 4; Security Restricted Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2017-08-29: Reporting owner OLIVIER ROY W; Form 4; Security Restricted Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2017-08-29: Reporting owner OLIVIER ROY W; Form 4; Security Restricted Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-08-29 | Ostermann Robert Officer (Chief Technology Officer) | 4 | Restricted Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −22,000 33,000 owned after | $0.00 | 2017-08-31 | |
| 2017-08-29 | Ostermann Robert Officer (Chief Technology Officer) | 4 | Restricted Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −33,000 0 owned after | $0.00 | 2017-08-31 | |
| 2017-08-29 | OLIVIER ROY W Director, Officer (President and CEO) | 4 | Restricted Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −22,000 33,000 owned after | $0.00 | 2017-08-31 | |
| 2017-08-29 | OLIVIER ROY W Director, Officer (President and CEO) | 4 | Restricted Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −33,000 0 owned after | $0.00 | 2017-08-31 | |
| 2017-08-29 | NURTHEN WILLIAM Officer (Chief Financial Officer) | 4 | Restricted Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −22,000 33,000 owned after | $0.00 | 2017-08-31 | |
| 2017-08-29 | NURTHEN WILLIAM Officer (Chief Financial Officer) | 4 | Restricted Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −33,000 0 owned after | $0.00 | 2017-08-31 | |
| 2017-08-03 | Ostermann Robert Officer (Chief Technology Officer) | 4 | Restricted Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −22,000 55,000 owned after | $0.00 | 2017-08-07 | |
| 2017-08-03 | NURTHEN WILLIAM Officer (Chief Financial Officer) | 4 | Restricted Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −22,000 55,000 owned after | $0.00 | 2017-08-07 | |
| 2017-08-03 | OLIVIER ROY W Director, Officer (President and CEO) | 4 | Restricted Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −22,000 55,000 owned after | $0.00 | 2017-08-07 | |
| 2017-06-21 | NURTHEN WILLIAM Officer (Chief Financial Officer) | 4/A | Restricted Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −33,000 77,000 owned after | $0.00 | 2017-08-25 | |
| 2017-06-21 | Ostermann Robert Officer (Chief Technology Officer) | 4/A | Restricted Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −33,000 77,000 owned after | $0.00 | 2017-08-25 | |
| 2017-06-21 | OLIVIER ROY W Director, Officer (President and CEO) | 4/A | Restricted Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −33,000 77,000 owned after | $0.00 | 2017-08-25 | |
| 2017-06-21 | Ostermann Robert Officer (Chief Technology Officer) | 4 | Restricted Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −33,000 77,000 owned after | $0.00 | 2017-07-12 | |
| 2017-06-21 | OLIVIER ROY W Director, Officer (President and CEO) | 4 | Restricted Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −33,000 77,000 owned after | $0.00 | 2017-07-12 | |
| 2017-06-21 | NURTHEN WILLIAM Officer (Chief Financial Officer) | 4 | Restricted Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −33,000 77,000 owned after | $0.00 | 2017-07-12 | |
| 2015-03-04 | NURTHEN WILLIAM Officer (Chief Financial Officer) | 4 | Restricted Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +110,000 110,000 owned after | $0.00 | 2015-03-06 | |
| 2015-03-04 | OLIVIER ROY W Director, Officer (President and CEO) | 4 | Restricted Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +110,000 110,000 owned after | $0.00 | 2015-03-06 | |
| 2011-10-24 | OLIVIER ROY W Director, Officer (President and CEO) | 4 | Performance Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1 1 owned after | no price filed | 2011-10-25 |