COMVERGE, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 15 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-12-13: Reporting owner Ungerer Scott B; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-06-08: Reporting owner MATHIESON DAVID; Form 3; Security STOCK OPTION (Right to Buy); Transaction Holding.
- 2011-04-19: Reporting owner Myszka Edward J; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-04-15: Reporting owner Smith Matthew Harnden; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-12-13 | Ungerer Scott B Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,500 0 owned after | $0.58 | 2011-12-14 | |
| 2011-06-08 holding as of filing | MATHIESON DAVID Officer (EVP & CFO) | 3 | STOCK OPTION (Right to Buy) Derivative · Direct | Holding | $3.50 exercise price | 2011-06-08 | ||
| 2011-04-19 | Myszka Edward J Officer (Exec. VP of Program Delivery) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 49,913 owned after | $0.74 exercise price | 2011-04-21 | |
| 2011-04-15 | Smith Matthew Harnden Officer (SVP & General Counsel) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,188 0 owned after | $0.58 exercise price | 2011-04-21 | |
| 2011-04-15 | Smith Matthew Harnden Officer (SVP & General Counsel) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,438 0 owned after | $0.82 exercise price | 2011-04-21 | |
| 2011-03-03 | Waterworth John Officer (VP & Corporate Controller) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,677 2,677 owned after | $5.55 exercise price | 2011-03-10 | |
| 2011-03-03 | YOUNG R BLAKE Director, Officer (President and CEO) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +115,858 115,858 owned after | $5.55 exercise price | 2011-03-07 | |
| 2011-03-03 | Vos Arthur IV Officer (SVP Product Mgmt. & Alliances) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,190 18,190 owned after | $5.55 exercise price | 2011-03-07 | |
| 2011-03-03 | Smith Matthew Harnden Officer (SVP and General Counsel) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +33,900 33,900 owned after | $5.55 exercise price | 2011-03-07 | |
| 2011-03-03 | PICCHI MICHAEL Director, Officer (EVP and CFO) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,794 24,794 owned after | $5.55 exercise price | 2011-03-07 | |
| 2011-03-03 | NAYLOR TERESA Officer (Senior Vice President of HR) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,862 5,862 owned after | $5.55 exercise price | 2011-03-07 | |
| 2011-03-03 | Myszka Edward J Officer (EVP of Program Delivery) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,897 21,897 owned after | $5.55 exercise price | 2011-03-07 | |
| 2011-03-03 | MOFFITT STEVEN Officer (EVP, Operations & Engineering) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +22,592 22,592 owned after | $5.55 exercise price | 2011-03-07 | |
| 2011-03-03 | CAMINO CHRISTOPHER Officer (EVP, Chief Marketing Officer) | 4 | Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,395 19,395 owned after | $5.55 exercise price | 2011-03-07 | |
| 2011-02-09 holding as of filing | NAYLOR TERESA Officer (SVP of Human Resources) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $6.80 exercise price | 2011-02-09 |