COMVERGE, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 33 rows in 2009. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-11-06: Reporting owner PICCHI MICHAEL; Form 4; Security Stock Options (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2009-11-05: Reporting owner Ungerer Scott B; Form 3; Security Stock Options; Transaction Holding.
- 2009-11-05: Reporting owner Ungerer Scott B; Form 3; Security Stock Options; Transaction Holding.
- 2009-11-05: Reporting owner Ungerer Scott B; Form 3; Security Stock Options; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2009-11-06 | PICCHI MICHAEL Officer (Interim Pres/CEO; EVP & CFO) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,125 3,125 owned after | $0.82 exercise price | 2009-11-10 | |
| 2009-11-05 holding as of filing | Ungerer Scott B Director | 3 | Stock Options Derivative · Direct | Holding | $11.76 exercise price | 2009-11-05 | ||
| 2009-11-05 holding as of filing | Ungerer Scott B Director | 3 | Stock Options Derivative · Direct | Holding | $0.58 exercise price | 2009-11-05 | ||
| 2009-11-05 holding as of filing | Ungerer Scott B Director | 3 | Stock Options Derivative · Direct | Holding | $0.74 exercise price | 2009-11-05 | ||
| 2009-11-05 holding as of filing | Ungerer Scott B Director | 3 | Stock Options Derivative · Direct | Holding | $4.00 exercise price | 2009-11-05 | ||
| 2009-11-05 holding as of filing | Ungerer Scott B Director | 3 | Stock Options Derivative · Direct | Holding | $23.54 exercise price | 2009-11-05 | ||
| 2009-11-05 holding as of filing | ODONNELL JOSEPH M Director | 3 | Stock Options Derivative · Direct | Holding | $11.76 exercise price | 2009-11-05 | ||
| 2009-11-05 holding as of filing | JONES A LAURENCE Director | 3 | Stock Options Derivative · Direct | Holding | $11.76 exercise price | 2009-11-05 | ||
| 2009-08-06 | PICCHI MICHAEL Officer (INTERIM CEO, PRESIDENT AND CFO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,125 6,250 owned after | $0.82 exercise price | 2009-08-07 | |
| 2009-06-01 | Waterworth John Officer (VP & CORPORATE CONTROLLER) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,850 1,850 owned after | $10.25 exercise price | 2009-06-08 | |
| 2009-05-18 | Chiste Robert M Director, Officer (Chairman, CEO and President) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,965 5,897 owned after | $3.18 exercise price | 2009-05-20 | |
| 2009-05-06 | PICCHI MICHAEL Officer (CHIEF FINANCIAL OFFICER) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,125 9,375 owned after | $0.82 exercise price | 2009-05-08 | |
| 2009-03-19 | Chiste Robert M Director, Officer (Chairman, CEO and President) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,291 42,874 owned after | $0.82 exercise price | 2009-03-23 | |
| 2009-03-19 | Chiste Robert M Director, Officer (Chairman, CEO and President) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −240 718 owned after | $0.82 exercise price | 2009-03-23 | |
| 2009-03-19 | Chiste Robert M Director, Officer (Chairman, CEO and President) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,966 7,862 owned after | $3.18 exercise price | 2009-03-23 | |
| 2009-03-12 holding as of filing | Waterworth John Officer (VP-Controller) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $4.00 exercise price | 2009-03-12 | ||
| 2009-03-12 holding as of filing | Waterworth John Officer (VP-Controller) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $18.00 exercise price | 2009-03-12 | ||
| 2009-03-12 holding as of filing | Waterworth John Officer (VP-Controller) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $32.96 exercise price | 2009-03-12 | ||
| 2009-03-12 holding as of filing | Waterworth John Officer (VP-Controller) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $4.30 exercise price | 2009-03-12 | ||
| 2009-03-12 holding as of filing | Waterworth John Officer (VP-Controller) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $4.00 exercise price | 2009-03-12 | ||
| 2009-03-03 | Vos Arthur IV Officer (Chief Technology Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,440 13,440 owned after | $4.30 exercise price | 2009-03-05 | |
| 2009-03-03 | Schaefer Mark Officer (VP, Risk Mgmt & Administration) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,120 15,120 owned after | $4.30 exercise price | 2009-03-05 | |
| 2009-03-03 | Smith Matthew Harnden Officer (VP & General Counsel) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,648 18,648 owned after | $4.30 exercise price | 2009-03-05 | |
| 2009-03-03 | Myszka Edward J Officer (COO - Clean Energy Solutions) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +41,951 41,951 owned after | $4.30 exercise price | 2009-03-05 | |
| 2009-03-03 | Magnotti Frank A Officer (Pres.- Clean Energy Solutions) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,765 45,765 owned after | $4.30 exercise price | 2009-03-05 | |
| 2009-03-03 | PICCHI MICHAEL Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +42,714 42,714 owned after | $4.30 exercise price | 2009-03-05 | |
| 2009-03-03 | Chiste Robert M Director, Officer (Chairman, CEO and President) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +162,000 162,000 owned after | $4.30 exercise price | 2009-03-05 | |
| 2009-02-10 | PICCHI MICHAEL Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,125 12,500 owned after | $0.82 exercise price | 2009-02-12 | |
| 2009-01-30 holding as of filing | Schaefer Mark Officer (VP, Risk Mgmt & Administration) | 3 | Stock Options Derivative · Direct | Holding | $34.23 exercise price | 2009-01-30 | ||
| 2009-01-30 holding as of filing | Schaefer Mark Officer (VP, Risk Mgmt & Administration) | 3 | Stock Options Derivative · Direct | Holding | $32.96 exercise price | 2009-01-30 | ||
| 2009-01-30 holding as of filing | Schaefer Mark Officer (VP, Risk Mgmt & Administration) | 3 | Stock Options Derivative · Direct | Holding | $29.06 exercise price | 2009-01-30 | ||
| 2009-01-30 holding as of filing | Hagewood Larry Director | 3 | Stock Options Derivative · Direct | Holding | $3.76 exercise price | 2009-01-30 | ||
| 2009-01-30 holding as of filing | Gutierrez Thomas Director | 3 | Stock Options Derivative · Direct | Holding | $3.76 exercise price | 2009-01-30 |