ASCENT CAPITAL GROUP, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 38 rows, 38 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-08-30: Reporting owner FITZGERALD WILLIAM R; Form 4; Security Nonqualified Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2017-11-16: Reporting owner Brigade Leveraged Capital Structures Fund Ltd. | Brigade Capital Management GP, LLC | BRIGADE CAPITAL MANAGEMENT, LP | MORGAN DONALD E III; Form 3; Security Call Option (obligation to sell); Transaction Holding.
- 2017-11-16: Reporting owner Brigade Leveraged Capital Structures Fund Ltd. | Brigade Capital Management GP, LLC | BRIGADE CAPITAL MANAGEMENT, LP | MORGAN DONALD E III; Form 3; Security Put Option (right to sell); Transaction Holding.
- 2017-11-16: Reporting owner Brigade Leveraged Capital Structures Fund Ltd. | Brigade Capital Management GP, LLC | BRIGADE CAPITAL MANAGEMENT, LP | MORGAN DONALD E III; Form 3; Security Call Option (obligation to sell); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-08-30 | FITZGERALD WILLIAM R Director, Officer (Chairman), 10% Owner | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −380,460 0 owned after | $61.21 exercise price | 2019-08-30 | |
| 2017-11-16 holding as of filing | Brigade Leveraged Capital Structures Fund Ltd. | Brigade Capital Management GP, LLC | BRIGADE CAPITAL MANAGEMENT, LP | MORGAN DONALD E III 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Call Option (obligation to sell) Derivative · Direct · (m) | Holding | $13.50 exercise price | 2017-11-16 | ||
| 2017-11-16 holding as of filing | Brigade Leveraged Capital Structures Fund Ltd. | Brigade Capital Management GP, LLC | BRIGADE CAPITAL MANAGEMENT, LP | MORGAN DONALD E III 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Put Option (right to sell) Derivative · Direct · (m) | Holding | $11.50 exercise price | 2017-11-16 | ||
| 2017-11-16 holding as of filing | Brigade Leveraged Capital Structures Fund Ltd. | Brigade Capital Management GP, LLC | BRIGADE CAPITAL MANAGEMENT, LP | MORGAN DONALD E III 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Call Option (obligation to sell) Derivative · Indirect · (m) | Holding | $13.50 exercise price | 2017-11-16 | ||
| 2017-11-16 holding as of filing | Brigade Leveraged Capital Structures Fund Ltd. | Brigade Capital Management GP, LLC | BRIGADE CAPITAL MANAGEMENT, LP | MORGAN DONALD E III 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Put Option (right to sell) Derivative · Indirect · (m) | Holding | $11.50 exercise price | 2017-11-16 | ||
| 2012-12-05 | Pohl Michael J Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 8,030 owned after | $21.81 exercise price | 2012-12-07 | |
| 2012-11-30 | FITZGERALD WILLIAM R Director, Officer (Chairman, President & CEO) | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +380,460 380,460 owned after | $61.21 exercise price | 2012-12-04 | |
| 2012-09-21 | FITZGERALD WILLIAM R Director, Officer (Chairman, President & CEO) | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 332,059 owned after | $21.81 exercise price | 2012-09-25 | |
| 2011-12-23 | MALONE JOHN C Director, 10% Owner | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,997 4,997 owned after | $50.45 exercise price | 2012-01-11 | |
| 2011-12-23 | VOGEL CARL E Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,329 6,329 owned after | $50.45 exercise price | 2011-12-28 | |
| 2011-12-23 | Pohl Michael J Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,662 6,662 owned after | $50.45 exercise price | 2011-12-28 | |
| 2011-12-23 | MULLIGAN BRIAN C Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,662 6,662 owned after | $50.45 exercise price | 2011-12-28 | |
| 2011-12-23 | HOLTHOUSE PHILIP J Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,662 6,662 owned after | $50.45 exercise price | 2011-12-28 | |
| 2011-09-30 | Meyers Michael R Officer (Senior Vice President & CFO) | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 45,000 owned after | $48.00 exercise price | 2011-10-03 | |
| 2011-09-30 | Haislip Michael R Officer (Executive Vice President) | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $48.00 exercise price | 2011-10-03 | |
| 2011-05-17 | NILES WILLIAM E Officer (Exec VP/Gen Counsel/Secretary) | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 17,640 owned after | $25.09 exercise price | 2011-05-19 | |
| 2011-03-29 | NILES WILLIAM E Officer (Exec VP/Gen Counsel/Secretary) | 4/A | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +49,160 49,160 owned after | $48.15 exercise price | 2011-05-19 | |
| 2011-03-29 | FITZGERALD WILLIAM R Director, Officer (Chairman, President & CEO) | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,634 397,693 owned after | $48.15 exercise price | 2011-03-30 | |
| 2011-03-29 | NILES WILLIAM E Officer (Exec VP/Gen Counsel/Secretary) | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +49,160 76,800 owned after | $48.15 exercise price | 2011-03-30 | |
| 2009-12-04 holding as of filing | BENNETT ROBERT R 10% Owner | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $16.70 exercise price | 2009-12-04 | ||
| 2009-12-04 holding as of filing | BENNETT ROBERT R 10% Owner | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $15.21 exercise price | 2009-12-04 | ||
| 2009-12-04 holding as of filing | BENNETT ROBERT R 10% Owner | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $29.42 exercise price | 2009-12-04 | ||
| 2009-12-02 | BENNETT ROBERT R 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −5,582 0 owned after | $16.70 exercise price | 2009-12-04 | |
| 2009-12-02 | BENNETT ROBERT R 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −5,582 0 owned after | $15.21 exercise price | 2009-12-04 | |
| 2009-12-02 | BENNETT ROBERT R 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −558 0 owned after | $29.42 exercise price | 2009-12-04 | |
| 2009-01-16 | PLATISA GEORGE C Officer (Executive VP & CFO) | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,640 27,640 owned after | $25.09 exercise price | 2009-01-21 | |
| 2009-01-16 | NILES WILLIAM E Officer (Exec VP/Gen Counsel/Secretary) | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,640 27,640 owned after | $25.09 exercise price | 2009-01-21 | |
| 2009-01-16 | Royo Jose A Director, Officer (President & COO) | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +41,460 41,460 owned after | $25.09 exercise price | 2009-01-21 | |
| 2008-11-13 | Pohl Michael J Director | 4/A | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,030 11,030 owned after | $21.81 exercise price | 2008-11-18 | |
| 2008-11-13 | HOLTHOUSE PHILIP J Director | 4/A | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,030 11,030 owned after | $21.81 exercise price | 2008-11-18 | |
| 2008-11-13 | MULLIGAN BRIAN C Director | 4/A | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,030 11,030 owned after | $21.81 exercise price | 2008-11-18 | |
| 2008-11-13 | FITZGERALD WILLIAM R Director, Officer (Chairman & CEO) | 4/A | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +347,059 347,059 owned after | $21.81 exercise price | 2008-11-18 | |
| 2008-11-13 | Pohl Michael J Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,030 11,030 owned after | $21.81 exercise price | 2008-11-17 | |
| 2008-11-13 | MULLIGAN BRIAN C Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,030 11,030 owned after | $21.81 exercise price | 2008-11-17 | |
| 2008-11-13 | HOLTHOUSE PHILIP J Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,030 11,030 owned after | $21.81 exercise price | 2008-11-17 | |
| 2008-11-13 | FITZGERALD WILLIAM R Director, Officer (Chairman & CEO) | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +347,059 347,059 owned after | $21.81 exercise price | 2008-11-17 | |
| 2008-10-15 | Orr John A Officer (Senior Vice President) | 4/A | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +121,799 121,799 owned after | $23.16 exercise price | 2009-01-27 | |
| 2008-10-15 | Orr John A Officer (Senior VP) | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +121,799 121,799 owned after | $23.16 exercise price | 2008-10-20 |