DREAMS INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 24 rows, 24 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-02-23: Reporting owner Sillano Dorothy; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-02-07: Reporting owner Adelstein Mitch; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-01-05: Reporting owner Bates Kevin Michael; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2009-12-24: Reporting owner Bates Kevin Michael; Form 4; Security Incentive Stock Option; 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 |
|---|---|---|---|---|---|---|---|---|
| 2011-02-23 | Sillano Dorothy Officer (Vice President and CFO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −23,789 0 owned after | $0.41 exercise price | 2011-02-23 | |
| 2011-02-07 | Adelstein Mitch Officer (Divsion President - Mfg.) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −82,009 0 owned after | $0.41 exercise price | 2011-02-09 | |
| 2011-01-05 | Bates Kevin Michael Officer (Divisional President-Retail) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +166,667 0 owned after | $0.60 exercise price | 2011-01-05 | |
| 2009-12-24 | Bates Kevin Michael Officer (Division President) | 4 | Incentive Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +61,430 0 owned after | $0.41 exercise price | 2009-12-28 | |
| 2009-06-19 | Rubin Steven D Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 40,000 owned after | $0.41 exercise price | 2009-08-05 | |
| 2009-06-19 | Malina David Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 40,000 owned after | $0.41 exercise price | 2009-08-05 | |
| 2009-06-19 | Larsson Dale E Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.41 exercise price | 2009-08-05 | |
| 2009-06-19 | Battistone Sam D Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 31,725 owned after | $0.41 exercise price | 2009-08-05 | |
| 2009-06-19 | Tannenbaum Ross Officer (President & CEO) | 4 | Incentive Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +153,692 181,975 owned after | $0.41 exercise price | 2009-06-26 | |
| 2009-06-19 | Sivashanmugam Mano Officer (Chief Information Officer) | 4 | Incentive Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,455 41,122 owned after | $0.41 exercise price | 2009-06-26 | |
| 2009-06-19 | Sillano Dorothy Officer (Vice President & CFO) | 4 | Incentive Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +23,789 23,789 owned after | $0.41 exercise price | 2009-06-26 | |
| 2009-06-19 | GREENE DAVID M Officer (Senior Vice President) | 4 | Incentive Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +68,083 72,211 owned after | $0.41 exercise price | 2009-06-26 | |
| 2009-06-19 | Bates Kevin Michael Officer (Division President - Retail) | 4 | Incentive Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +61,430 228,097 owned after | $0.41 exercise price | 2009-06-26 | |
| 2009-06-19 | Adelstein Mitch Officer (Division President - Mfg) | 4 | Incentive Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +82,009 89,951 owned after | $0.41 exercise price | 2009-06-26 | |
| 2008-08-11 | Malina David Director | 4 | Incentive Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 20,000 owned after | $1.15 exercise price | 2008-08-13 | |
| 2008-08-11 | Rubin Steven D Director | 4 | Incentive Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 20,000 owned after | $1.15 exercise price | 2008-08-13 | |
| 2007-07-02 holding as of filing | Sivashanmugam Mano Officer (Chief Information Officer) | 3 | Incentive Stock Option (right to vuy) Derivative · Direct | Holding | $2.75 exercise price | 2007-07-02 | ||
| 2007-07-02 holding as of filing | Bates Kevin Michael Officer (Div President - Retail) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $0.60 exercise price | 2007-07-02 | ||
| 2007-07-02 holding as of filing | Adelstein Mitch Officer (Div President - Manufacturing) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $1.50 exercise price | 2007-07-02 | ||
| 2007-06-25 | Rubin Steven D Director | 4 | Incentive 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 | $2.64 exercise price | 2007-06-26 | |
| 2007-06-25 | Malina David Director | 4 | Incentive 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 | $2.64 exercise price | 2007-06-26 | |
| 2004-08-01 | Tannenbaum Ross Director, Officer (President/CEO) | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +169,696 169,696 owned after | $0.25 exercise price | 2006-03-08 | |
| 2004-08-01 | SHAFFER VICTOR Officer (Executive Vice President) | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +57,077 1,257,077 owned after | $0.25 exercise price | 2006-03-01 | |
| 2004-08-01 | GREENE DAVID M Officer (Senior Vice President) | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,766 24,766 owned after | $0.25 exercise price | 2006-03-01 |