COST PLUS INC/CA/ Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 19 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-12-21: Reporting owner Miltner Charles; Form 3; Security Employee Stock Option (right to buy); Transaction Holding.
- 2011-12-21: Reporting owner Miltner Charles; Form 3; Security Employee Stock Option (right to buy); Transaction Holding.
- 2011-12-21: Reporting owner Miltner Charles; Form 3; Security Employee Stock Option (right to buy); Transaction Holding.
- 2011-12-21: Reporting owner Miltner Charles; Form 3; Security Employee Stock Option (right to buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-12-21 holding as of filing | Miltner Charles | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $19.17 exercise price | 2011-12-21 | ||
| 2011-12-21 holding as of filing | Miltner Charles | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $38.50 exercise price | 2011-12-21 | ||
| 2011-12-21 holding as of filing | Miltner Charles | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $9.38 exercise price | 2011-12-21 | ||
| 2011-12-21 holding as of filing | Miltner Charles | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $3.61 exercise price | 2011-12-21 | ||
| 2011-12-21 holding as of filing | Miltner Charles | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $0.89 exercise price | 2011-12-21 | ||
| 2011-12-21 holding as of filing | Miltner Charles | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $4.86 exercise price | 2011-12-21 | ||
| 2011-12-21 holding as of filing | Miltner Charles | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $10.55 exercise price | 2011-12-21 | ||
| 2011-09-15 | RED MOUNTAIN CAPITAL MANAGEMENT INC | MESDAG WILLEM | RMCP GP LLC | RED MOUNTAIN CAPITAL PARTNERS LLC | RED MOUNTAIN CAPITAL PARTNERS III, L.P. | RED MOUNTAIN CAPITAL PARTNERS II, L.P. Other | 10% Owner | Other (Please refer to Remarks below.) | Other (Please refer to Remarks below.) | Other (Please refer to Remarks below.) | Other (Please refer to Remarks below.) | 4 | Director Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,000 0 owned after | $4.86 exercise price | 2011-09-21 | |
| 2011-09-15 | RED MOUNTAIN CAPITAL MANAGEMENT INC | MESDAG WILLEM | RMCP GP LLC | RED MOUNTAIN CAPITAL PARTNERS LLC | RED MOUNTAIN CAPITAL PARTNERS III, L.P. | RED MOUNTAIN CAPITAL PARTNERS II, L.P. Other | 10% Owner | Other (Please refer to Remarks below.) | Other (Please refer to Remarks below.) | Other (Please refer to Remarks below.) | Other (Please refer to Remarks below.) | 4 | Director Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,500 0 owned after | $0.89 exercise price | 2011-09-21 | |
| 2011-09-15 | RED MOUNTAIN CAPITAL MANAGEMENT INC | MESDAG WILLEM | RMCP GP LLC | RED MOUNTAIN CAPITAL PARTNERS LLC | RED MOUNTAIN CAPITAL PARTNERS III, L.P. | RED MOUNTAIN CAPITAL PARTNERS II, L.P. Other | 10% Owner | Other (Please refer to Remarks below.) | Other (Please refer to Remarks below.) | Other (Please refer to Remarks below.) | Other (Please refer to Remarks below.) | 4 | Director Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,000 0 owned after | $0.85 exercise price | 2011-09-21 | |
| 2011-06-06 holding as of filing | RED MOUNTAIN CAPITAL MANAGEMENT INC | RED MOUNTAIN CAPITAL PARTNERS III, L.P. | RED MOUNTAIN CAPITAL PARTNERS LLC | RED MOUNTAIN CAPITAL PARTNERS II, L.P. | RMCP GP LLC | MESDAG WILLEM Other | Other (Please refer to Remarks below.) | Other (Please refer to Remarks below.) | Other (Please refer to Remarks below.) | Other (Please refer to Remarks below.) | Director, 10% Owner | 4 | Director Stock Option (right to buy) Derivative · Direct | Holding | 12,000 owned after | $4.86 exercise price | 2011-06-06 | |
| 2011-06-06 holding as of filing | RED MOUNTAIN CAPITAL MANAGEMENT INC | RED MOUNTAIN CAPITAL PARTNERS III, L.P. | RED MOUNTAIN CAPITAL PARTNERS LLC | RED MOUNTAIN CAPITAL PARTNERS II, L.P. | RMCP GP LLC | MESDAG WILLEM Other | Other (Please refer to Remarks below.) | Other (Please refer to Remarks below.) | Other (Please refer to Remarks below.) | Other (Please refer to Remarks below.) | Director, 10% Owner | 4 | Director Stock Option (right to buy) Derivative · Direct | Holding | 1,500 owned after | $0.89 exercise price | 2011-06-06 | |
| 2011-06-06 holding as of filing | RED MOUNTAIN CAPITAL MANAGEMENT INC | RED MOUNTAIN CAPITAL PARTNERS III, L.P. | RED MOUNTAIN CAPITAL PARTNERS LLC | RED MOUNTAIN CAPITAL PARTNERS II, L.P. | RMCP GP LLC | MESDAG WILLEM Other | Other (Please refer to Remarks below.) | Other (Please refer to Remarks below.) | Other (Please refer to Remarks below.) | Other (Please refer to Remarks below.) | Director, 10% Owner | 4 | Director Stock Option (right to buy) Derivative · Direct | Holding | 16,000 owned after | $0.85 exercise price | 2011-06-06 | |
| 2011-05-26 holding as of filing | RED MOUNTAIN CAPITAL PARTNERS II, L.P. | RED MOUNTAIN CAPITAL PARTNERS III, L.P. | MESDAG WILLEM | RED MOUNTAIN CAPITAL MANAGEMENT INC | RMCP GP LLC | RED MOUNTAIN CAPITAL PARTNERS LLC Other (Please refer to Remarks below.) | Other (Please refer to Remarks below.) | Director, 10% Owner | Other | Other (Please refer to Remarks below.) | Other (Please refer to Remarks below.) | 4 | Director Stock Option (right to buy) Derivative · Direct | Holding | 12,000 owned after | $4.86 exercise price | 2011-05-26 | |
| 2011-05-26 holding as of filing | RED MOUNTAIN CAPITAL PARTNERS II, L.P. | RED MOUNTAIN CAPITAL PARTNERS III, L.P. | MESDAG WILLEM | RED MOUNTAIN CAPITAL MANAGEMENT INC | RMCP GP LLC | RED MOUNTAIN CAPITAL PARTNERS LLC Other (Please refer to Remarks below.) | Other (Please refer to Remarks below.) | Director, 10% Owner | Other | Other (Please refer to Remarks below.) | Other (Please refer to Remarks below.) | 4 | Director Stock Option (right to buy) Derivative · Direct | Holding | 1,500 owned after | $0.89 exercise price | 2011-05-26 | |
| 2011-05-26 holding as of filing | RED MOUNTAIN CAPITAL PARTNERS II, L.P. | RED MOUNTAIN CAPITAL PARTNERS III, L.P. | MESDAG WILLEM | RED MOUNTAIN CAPITAL MANAGEMENT INC | RMCP GP LLC | RED MOUNTAIN CAPITAL PARTNERS LLC Other (Please refer to Remarks below.) | Other (Please refer to Remarks below.) | Director, 10% Owner | Other | Other (Please refer to Remarks below.) | Other (Please refer to Remarks below.) | 4 | Director Stock Option (right to buy) Derivative · Direct | Holding | 16,000 owned after | $0.85 exercise price | 2011-05-26 | |
| 2011-03-21 | FELD BARRY J Director, Officer (CEO, President) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $10.55 exercise price | 2011-03-23 | |
| 2011-03-21 | BAUGHMAN JANE L Officer (EVP, Chief Financial Officer) | 4 | Employee 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 | $10.55 exercise price | 2011-03-23 | |
| 2011-03-21 | TURNER JEFFREY ALAN Officer (EVP, Operations and CIO) | 4 | Employee 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 | $10.55 exercise price | 2011-03-23 |