ECHELON CORP Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 7 rows in 2006. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2006-10-31: Reporting owner HARRIS RUSSELL; Form 4; Security Stock Appreciation Right; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2006-10-31: Reporting owner STANFIELD OLIVER R; Form 4; Security Stock Appreciation Right; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2006-10-31: Reporting owner BRUGGINK FREDERIK; Form 4; Security Stock Appreciation Right; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2006-10-31: Reporting owner O S VENTURES | OSHMAN M KENNETH | OSHMAN TRUST DATED 7 10 1979; Form 4; Security Stock Appreciation Right; 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 |
|---|---|---|---|---|---|---|---|---|
| 2006-10-31 | HARRIS RUSSELL Officer (Senior VP of Operations) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +26,250 26,250 owned after | $8.43 exercise price | 2006-11-02 | |
| 2006-10-31 | STANFIELD OLIVER R Officer (Executive VP and CFO) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +37,500 37,500 owned after | $8.43 exercise price | 2006-11-02 | |
| 2006-10-31 | BRUGGINK FREDERIK Officer (Sr. VP & GM of Ser Prov Gp) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +26,250 26,250 owned after | $8.43 exercise price | 2006-11-02 | |
| 2006-10-31 | O S VENTURES | OSHMAN M KENNETH | OSHMAN TRUST DATED 7 10 1979 10% Owner | Director, Officer (Chairman of the Board & CEO), 10% Owner | 10% Owner | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +56,250 56,250 owned after | $8.43 exercise price | 2006-11-02 | |
| 2006-10-31 | YORMARK BEATRICE Officer (President and COO) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +37,500 37,500 owned after | $8.43 exercise price | 2006-11-02 | |
| 2006-10-31 | AXELSSON ANDERS Officer (Senior VP of Sales & Marketing) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +26,250 26,250 owned after | $8.43 exercise price | 2006-11-02 | |
| 2006-10-31 | BLOCH KATHLEEN B Officer (Sr. VP, Gen Counsl & Secretary) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −26,250 26,250 owned after | $8.43 exercise price | 2006-11-02 |