CMS BANCORP, 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.
- 2015-04-28: Reporting owner Harrington William P; Form 4; Security Employee Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2015-04-28: Reporting owner Weisz Robert P.; Form 4; Security Employee Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2015-04-28: Reporting owner MOONEY WILLIAM M JR; Form 4; Security Employee Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2015-04-28: Reporting owner Cocozzo Diane; Form 4; Security Employee Stock Option (Right to Buy); 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 |
|---|---|---|---|---|---|---|---|---|
| 2015-04-28 | Harrington William P Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,000 0 owned after | $4.90 | 2015-04-30 | |
| 2015-04-28 | Weisz Robert P. Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,000 0 owned after | $5.15 | 2015-04-29 | |
| 2015-04-28 | MOONEY WILLIAM M JR Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $5.21 | 2015-04-29 | |
| 2015-04-28 | Cocozzo Diane Officer (SVP & Corp. Secretary) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −7,000 0 owned after | $3.13 | 2015-04-29 | |
| 2015-04-28 | Cocozzo Diane Officer (SVP & Corp. Secretary) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,500 0 owned after | $6.00 | 2015-04-29 | |
| 2015-04-28 | Cocozzo Diane Officer (SVP & Corp. Secretary) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,500 0 owned after | $4.59 | 2015-04-29 | |
| 2015-04-28 | McCrosson Matthew G Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,000 0 owned after | $3.13 | 2015-04-29 | |
| 2015-04-28 | Strauss Christopher Officer (Exec. VP & Sr. Lending Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −22,000 0 owned after | $3.13 | 2015-04-28 | |
| 2015-04-28 | Strauss Christopher Officer (Exec. VP & Sr. Lending Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,500 0 owned after | $6.00 | 2015-04-28 | |
| 2015-04-28 | Strauss Christopher Officer (Exec. VP & Sr. Lending Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,500 0 owned after | $4.59 | 2015-04-28 | |
| 2015-04-28 | Mazza Cheri Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,000 0 owned after | $3.13 | 2015-04-28 | |
| 2015-04-28 | Massaro Susan A Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,000 0 owned after | $3.13 | 2015-04-28 | |
| 2015-04-28 | Cuddy William V Jr Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,000 0 owned after | $3.13 | 2015-04-28 | |
| 2015-04-28 | Ritacco John E Director, Officer (President and CEO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −51,379 0 owned after | $3.13 | 2015-04-28 | |
| 2015-04-28 | Romita Mauro C Director | 4 | Employee Stock Option (Right to Buy) Derivative · Indirect · Held By Mauro C. Romita Revocable Trust dated May 13, 2011 | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,000 0 owned after | $5.25 | 2015-04-28 | |
| 2015-04-28 | Ryan Gerry Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −6,000 0 owned after | $5.21 | 2015-04-28 | |
| 2014-12-11 holding as of filing | Cocozzo Diane Officer (SVP & Corp. Secretary) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $10.12 exercise price | 2014-12-11 | ||
| 2014-12-11 holding as of filing | Cocozzo Diane Officer (SVP & Corp. Secretary) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $7.25 exercise price | 2014-12-11 | ||
| 2014-12-11 holding as of filing | Cocozzo Diane Officer (SVP & Corp. Secretary) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $8.66 exercise price | 2014-12-11 | ||
| 2012-10-31 | Romita Mauro C Director | 4 | Director Stock Option (Right to Buy) Derivative · Indirect · Held By Mauro C. Romita Revocable Trust dated May 13, 2011 | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 6,000 owned after | $8.00 exercise price | 2012-11-01 | |
| 2012-09-26 | Ryan Gerry Director | 4 | Director Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 6,000 owned after | $8.04 exercise price | 2012-11-01 | |
| 2012-09-26 | MOONEY WILLIAM M JR Director | 4 | Director Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $8.04 exercise price | 2012-11-01 | |
| 2011-09-28 | Weisz Robert P. Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 6,000 owned after | $8.10 exercise price | 2011-09-30 | |
| 2011-04-27 | Dowd Stephen Officer (Senior VP and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500 2,500 owned after | $8.66 exercise price | 2011-04-28 | |
| 2011-04-27 | Strauss Christopher Officer (Sr. VP and Sr. Lending Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500 2,500 owned after | $8.66 exercise price | 2011-04-28 | |
| 2010-05-27 | Harrington William P Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 6,000 owned after | $4.25 exercise price | 2010-06-01 | |
| 2009-11-23 | Dowd Stephen Officer (Senior VP and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500 2,500 owned after | $7.25 exercise price | 2009-11-25 | |
| 2009-10-23 | Strauss Christopher Officer (Sr. VP and Sr. Lending Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500 2,500 owned after | $7.25 exercise price | 2009-11-25 | |
| 2007-12-11 holding as of filing | Ferrara Thomas G Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | 10,275 owned after | $10.12 exercise price | 2007-12-11 | |
| 2007-11-28 | McCrosson Matthew G Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 6,000 owned after | $10.12 exercise price | 2007-11-30 | |
| 2007-11-28 | Cuddy William V Jr Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 6,000 owned after | $10.12 exercise price | 2007-11-30 | |
| 2007-11-28 | Ferrara Thomas G Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,275 10,275 owned after | $10.12 exercise price | 2007-11-30 | |
| 2007-11-28 | Massaro Susan A Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 6,000 owned after | $10.12 exercise price | 2007-11-30 | |
| 2007-11-28 | Mazza Cheri Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 6,000 owned after | $10.12 exercise price | 2007-11-30 | |
| 2007-11-28 | Romagnoli AnnMarie V Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 6,000 owned after | $10.12 exercise price | 2007-11-30 | |
| 2007-11-28 | Strauss Christopher Officer (Sr. VP and Sr. Lending Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +22,000 22,000 owned after | $10.12 exercise price | 2007-11-30 | |
| 2007-11-28 | Ritacco John E Director, Officer (President and CEO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +51,379 51,379 owned after | $10.12 exercise price | 2007-11-30 | |
| 2007-11-28 | Dowd Stephen Officer (Senior VP and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +22,000 22,000 owned after | $10.12 exercise price | 2007-11-30 |