EAU TECHNOLOGIES, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 50 rows, 50 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-01-31: Reporting owner Ullrich Peter; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-01-31: Reporting owner Jacoby Ted; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-01-31: Reporting owner Montgomery J Leo; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-01-31: Reporting owner WARWICK WILLIAM J; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-01-31 | Ullrich Peter Director, 10% Owner | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +96,775 96,775 owned after | $0.31 exercise price | 2013-02-07 | |
| 2013-01-31 | Jacoby Ted Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +96,775 96,775 owned after | $0.31 exercise price | 2013-02-04 | |
| 2013-01-31 | Montgomery J Leo Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +96,775 96,775 owned after | $0.31 exercise price | 2013-02-04 | |
| 2013-01-31 | WARWICK WILLIAM J Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +96,775 96,775 owned after | $0.31 exercise price | 2013-02-04 | |
| 2012-01-01 | Ullrich Peter Director, 10% Owner | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +290,325 290,325 owned after | $0.31 exercise price | 2012-04-16 | |
| 2012-01-01 | Montgomery J Leo Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +290,325 290,325 owned after | $0.31 exercise price | 2012-04-13 | |
| 2012-01-01 | Jacoby Ted Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +290,325 290,325 owned after | $0.31 exercise price | 2012-04-13 | |
| 2012-01-01 | WARWICK WILLIAM J Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +290,325 290,325 owned after | $0.31 exercise price | 2012-04-13 | |
| 2011-03-28 | Stapley Joseph Officer (SVP of Invest.Rel. & Bus. Dev.) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $0.31 exercise price | 2011-03-30 | |
| 2011-03-28 | Stapley Joseph Officer (SVP of Invest.Rel. & Bus. Dev.) | 4 | Stock Option Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −25,000 0 owned after | $2.45 exercise price | 2011-03-30 | |
| 2011-03-28 | Stapley Joseph Officer (SVP of Invest.Rel. & Bus. Dev.) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +159,230 159,230 owned after | $0.31 exercise price | 2011-03-30 | |
| 2011-03-28 | Stapley Joseph Officer (SVP of Invest.Rel. & Bus. Dev.) | 4 | Stock Option Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −159,230 0 owned after | $1.30 exercise price | 2011-03-30 | |
| 2011-03-28 | Stapley Joseph Officer (SVP of Invest.Rel. & Bus. Dev.) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $0.31 exercise price | 2011-03-30 | |
| 2011-03-28 | Stapley Joseph Officer (SVP of Invest.Rel. & Bus. Dev.) | 4 | Stock Option Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −25,000 0 owned after | $3.50 exercise price | 2011-03-30 | |
| 2011-03-28 | Kindred Doug Officer (Chief Technology Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $0.31 exercise price | 2011-03-30 | |
| 2011-03-28 | Kindred Doug Officer (Chief Technology Officer) | 4 | Stock Option Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −25,000 0 owned after | $2.45 exercise price | 2011-03-30 | |
| 2011-03-28 | Kindred Doug Officer (Chief Technology Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +530,000 530,000 owned after | $0.31 exercise price | 2011-03-30 | |
| 2011-03-28 | Kindred Doug Officer (Chief Technology Officer) | 4 | Stock Option Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −530,000 0 owned after | $1.30 exercise price | 2011-03-30 | |
| 2011-03-28 | Kindred Doug Officer (Chief Technology Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $0.31 exercise price | 2011-03-30 | |
| 2011-03-28 | Kindred Doug Officer (Chief Technology Officer) | 4 | Stock Option Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 0 owned after | $3.50 exercise price | 2011-03-30 | |
| 2011-03-28 | BRADLEY WADE Officer (Chief Executive Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500,000 500,000 owned after | $0.31 exercise price | 2011-03-30 | |
| 2011-03-28 | BRADLEY WADE Officer (Chief Executive Officer) | 4 | Stock Option Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −500,000 0 owned after | $1.30 exercise price | 2011-03-30 | |
| 2011-03-28 | Montgomery J Leo Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500,000 500,000 owned after | $0.31 exercise price | 2011-03-30 | |
| 2011-03-28 | Heinhold Brian D Officer (Chief Financial Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $0.31 exercise price | 2011-03-30 | |
| 2011-03-28 | Heinhold Brian D Officer (Chief Financial Officer) | 4 | Stock Option Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −40,000 0 owned after | $1.30 exercise price | 2011-03-30 | |
| 2008-01-01 | Kindred Doug Officer (Chief Technology Officer) | 4 | Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −150,000 0 owned after | $0.01 exercise price | 2008-01-03 | |
| 2007-12-10 holding as of filing | Stapley Joseph Officer (Vice President) | 5/A | Stock Option Derivative · Direct | Holding | 25,000 owned after | $3.50 exercise price | 2007-12-10 | |
| 2007-12-10 holding as of filing | Stapley Joseph Officer (Vice President) | 5/A | Stock Option Derivative · Direct | Holding | 25,000 owned after | $0.01 exercise price | 2007-12-10 | |
| 2007-12-10 holding as of filing | Kindred Doug Officer (Vice President) | 5/A | Stock Option Derivative · Direct | Holding | 150,000 owned after | $0.01 exercise price | 2007-12-10 | |
| 2007-12-10 holding as of filing | Kindred Doug Officer (Vice President) | 5/A | Stock Option Derivative · Direct | Holding | 150,000 owned after | $1.50 exercise price | 2007-12-10 | |
| 2007-12-10 holding as of filing | Kindred Doug Officer (Vice President) | 5/A | Stock Option Derivative · Direct | Holding | 20,000 owned after | $3.50 exercise price | 2007-12-10 | |
| 2007-12-10 holding as of filing | Kindred Doug Officer (Vice President) | 5/A | Stock Option Derivative · Direct | Holding | 25,000 owned after | $0.01 exercise price | 2007-12-10 | |
| 2007-12-06 | Kindred Doug Officer (Vice President) | 4 | Stock Option Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −25,000 0 owned after | $0.01 exercise price | 2007-12-10 | |
| 2007-12-06 | Kindred Doug Officer (Vice President) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $2.45 exercise price | 2007-12-10 | |
| 2007-12-06 | Stapley Joseph Officer (Vice President) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +159,230 159,230 owned after | $1.30 exercise price | 2007-12-10 | |
| 2007-12-06 | Stapley Joseph Officer (Vice President) | 4 | Stock Option Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −25,000 0 owned after | $0.01 exercise price | 2007-12-10 | |
| 2007-12-06 | Stapley Joseph Officer (Vice President) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $2.45 exercise price | 2007-12-10 | |
| 2007-12-06 | Heinhold Brian D Officer (Chief Financial Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $1.30 exercise price | 2007-12-10 | |
| 2007-12-06 | Earle Larry Officer (SVP of Live Processing) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +36,000 36,000 owned after | $1.30 exercise price | 2007-12-10 | |
| 2007-12-06 | Earle Larry Officer (SVP of Live Processing) | 4 | Stock Option Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −75,000 0 owned after | $0.01 exercise price | 2007-12-10 | |
| 2007-12-06 | Earle Larry Officer (SVP of Live Processing) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $2.45 exercise price | 2007-12-10 | |
| 2007-11-08 | Kindred Doug Officer (Vice President) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +530,000 530,000 owned after | $1.30 exercise price | 2007-11-13 | |
| 2006-11-08 holding as of filing | BRADLEY WADE Officer (Chief Executive Officer) | 3 | Stock Option Derivative · Direct | Holding | $1.30 exercise price | 2006-11-08 | ||
| 2006-03-13 holding as of filing | JAYNES H WARREN Officer (Chief Financial Officer) | 3 | Option Derivative · Direct | Holding | $2.76 exercise price | 2006-03-13 | ||
| 2005-06-01 | Earle Larry Officer (SVP of Live Processing) | 5 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $0.01 exercise price | 2007-03-30 | |
| 2005-06-01 | Earle Larry Officer (SVP of Live Processing) | 5 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $3.50 exercise price | 2007-03-30 | |
| 2005-06-01 | Kindred Doug Officer (Vice President) | 5 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $3.50 exercise price | 2007-03-29 | |
| 2005-05-26 | Stapley Joseph Officer (Vice President) | 5 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $3.50 exercise price | 2007-03-29 | |
| 2003-01-02 | Kindred Doug Officer (Vice President) | 5 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $0.01 exercise price | 2007-03-29 | |
| 2003-01-02 | Kindred Doug Officer (Vice President) | 5 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $1.50 exercise price | 2007-03-29 |