ECHELON CORP Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 9 rows in 2007. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2007-09-10: Reporting owner O S VENTURES | OSHMAN M KENNETH | OSHMAN TRUST DATED 7 10 1979; Form 4/A; Security StockAppreciation Right; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2007-09-10: Reporting owner AXELSSON ANDERS; Form 4; Security Stock Appreciation Right; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2007-09-10: Reporting owner BLOCH KATHLEEN B; Form 4; Security Stock Appreciation Right; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2007-09-10: Reporting owner BRUGGINK FREDERIK; 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 |
|---|---|---|---|---|---|---|---|---|
| 2007-09-10 | 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/A | StockAppreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +56,250 56,250 owned after | $27.80 exercise price | 2007-09-11 | |
| 2007-09-10 | 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 | $27.80 exercise price | 2007-09-11 | |
| 2007-09-10 | 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 | $27.80 exercise price | 2007-09-11 | |
| 2007-09-10 | 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) | +33,750 33,750 owned after | $27.80 exercise price | 2007-09-11 | |
| 2007-09-10 | 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) | +33,750 33,750 owned after | $27.80 exercise price | 2007-09-11 | |
| 2007-09-10 | OSHMAN M KENNETH Director, Officer (Chairman of the Board & CEO), 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 | $27.80 exercise price | 2007-09-11 | |
| 2007-09-10 | 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 | $27.80 exercise price | 2007-09-11 | |
| 2007-09-10 | 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 | $27.80 exercise price | 2007-09-11 | |
| 2007-04-13 | BRUGGINK FREDERIK Officer (Sr. VP & GM of Ser Prov Gp) | 4 | Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 0 owned after | $8.52 exercise price | 2007-04-17 |