ECHELON CORP Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 60 rows in 2008. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2008-12-17: Reporting owner OSHMAN M KENNETH | O S VENTURES | 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).
- 2008-12-17: Reporting owner OSHMAN M KENNETH | O S VENTURES | 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).
- 2008-12-17: Reporting owner OSHMAN M KENNETH | O S VENTURES | OSHMAN TRUST DATED 7 10 1979; Form 4; Security Stock Appreciation Right; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2008-12-17: Reporting owner OSHMAN M KENNETH | O S VENTURES | 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 |
|---|---|---|---|---|---|---|---|---|
| 2008-12-17 | OSHMAN M KENNETH | O S VENTURES | OSHMAN TRUST DATED 7 10 1979 Director, Officer (Chairman of the Board & CEO), 10% Owner | 10% Owner | 10% Owner | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | OSHMAN M KENNETH | O S VENTURES | OSHMAN TRUST DATED 7 10 1979 Director, Officer (Chairman of the Board & CEO), 10% Owner | 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 | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | OSHMAN M KENNETH | O S VENTURES | OSHMAN TRUST DATED 7 10 1979 Director, Officer (Chairman of the Board & CEO), 10% Owner | 10% Owner | 10% Owner | 4 | Stock Appreciation Right Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −56,250 0 owned after | $8.43 exercise price | 2008-12-19 | |
| 2008-12-17 | OSHMAN M KENNETH | O S VENTURES | OSHMAN TRUST DATED 7 10 1979 Director, Officer (Chairman of the Board & CEO), 10% Owner | 10% Owner | 10% Owner | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,750 18,750 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | OSHMAN M KENNETH | O S VENTURES | OSHMAN TRUST DATED 7 10 1979 Director, Officer (Chairman of the Board & CEO), 10% Owner | 10% Owner | 10% Owner | 4 | Stock Appreciation Right Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −56,250 0 owned after | $27.80 exercise price | 2008-12-19 | |
| 2008-12-17 | OSHMAN M KENNETH | O S VENTURES | OSHMAN TRUST DATED 7 10 1979 Director, Officer (Chairman of the Board & CEO), 10% Owner | 10% Owner | 10% Owner | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | OSHMAN M KENNETH | O S VENTURES | OSHMAN TRUST DATED 7 10 1979 Director, Officer (Chairman of the Board & CEO), 10% Owner | 10% Owner | 10% Owner | 4 | Stock Appreciation Right Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −75,000 0 owned after | $13.32 exercise price | 2008-12-19 | |
| 2008-12-17 | OSHMAN TRUST DATED 7 10 1979 | O S VENTURES | OSHMAN M KENNETH 10% Owner | 10% Owner | 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) | +125,000 125,000 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | OSHMAN TRUST DATED 7 10 1979 | O S VENTURES | OSHMAN M KENNETH 10% Owner | 10% Owner | 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) | +100,000 100,000 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | OSHMAN TRUST DATED 7 10 1979 | O S VENTURES | OSHMAN M KENNETH 10% Owner | 10% Owner | 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) | +120,000 120,000 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | 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) | +50,000 50,000 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | 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) | +50,000 50,000 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | 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) | +80,000 80,000 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | 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) | +12,500 12,500 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | STANFIELD OLIVER R Officer (Executive VP and CFO) | 4 | Stock Appreciation Right Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −37,500 0 owned after | $27.80 exercise price | 2008-12-19 | |
| 2008-12-17 | 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) | +25,000 25,000 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | STANFIELD OLIVER R Officer (Executive VP and CFO) | 4 | Stock Appreciation Right Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −37,500 0 owned after | $13.32 exercise price | 2008-12-19 | |
| 2008-12-17 | Robert N. Machlin Officer (Senior VP Products) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | Robert N. Machlin Officer (Senior VP Products) | 4 | Stock Appreciation Right Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −75,000 0 owned after | $12.11 exercise price | 2008-12-19 | |
| 2008-12-17 | 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) | +62,836 62,836 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | 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) | +2,354 2,354 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | 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) | +5,577 5,577 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | 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) | +17,500 17,500 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | 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 | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | HARRIS RUSSELL Officer (Senior VP of Operations) | 4 | Stock Appreciation Right Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −26,250 0 owned after | $8.43 exercise price | 2008-12-19 | |
| 2008-12-17 | 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) | +11,250 11,250 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | HARRIS RUSSELL Officer (Senior VP of Operations) | 4 | Stock Appreciation Right Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −33,750 0 owned after | $27.80 exercise price | 2008-12-19 | |
| 2008-12-17 | 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) | +22,500 22,500 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | HARRIS RUSSELL Officer (Senior VP of Operations) | 4 | Stock Appreciation Right Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −33,750 0 owned after | $13.32 exercise price | 2008-12-19 | |
| 2008-12-17 | 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) | +50,000 50,000 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | 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) | +30,000 30,000 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | 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) | +20,000 20,000 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | 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) | +60,000 60,000 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | 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) | +35,000 35,000 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | 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 | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | BLOCH KATHLEEN B Officer (Sr. VP, Gen Counsl & Secretary) | 4 | Stock Appreciation Right Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −26,250 0 owned after | $8.43 exercise price | 2008-12-19 | |
| 2008-12-17 | 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) | +8,750 8,750 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | BLOCH KATHLEEN B Officer (Sr. VP, Gen Counsl & Secretary) | 4 | Stock Appreciation Right Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −26,250 0 owned after | $27.80 exercise price | 2008-12-19 | |
| 2008-12-17 | 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) | +17,500 17,500 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | BLOCH KATHLEEN B Officer (Sr. VP, Gen Counsl & Secretary) | 4 | Stock Appreciation Right Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −26,250 0 owned after | $13.32 exercise price | 2008-12-19 | |
| 2008-12-17 | 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) | +60,000 60,000 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | 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) | +35,000 35,000 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | 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 | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | AXELSSON ANDERS Officer (Senior VP of Sales & Marketing) | 4 | Stock Appreciation Right Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −26,250 0 owned after | $8.43 exercise price | 2008-12-19 | |
| 2008-12-17 | 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) | +8,750 8,750 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | AXELSSON ANDERS Officer (Senior VP of Sales & Marketing) | 4 | Stock Appreciation Right Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −26,250 0 owned after | $27.80 exercise price | 2008-12-19 | |
| 2008-12-17 | 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) | +17,500 17,500 owned after | $7.69 exercise price | 2008-12-19 | |
| 2008-12-17 | AXELSSON ANDERS Officer (Senior VP of Sales & Marketing) | 4 | Stock Appreciation Right Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −26,250 0 owned after | $13.32 exercise price | 2008-12-19 | |
| 2008-09-10 | AXELSSON ANDERS Officer (Senior VP of Sales & Marketing) | 4 | Perforrmance Shares Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,188 6,562 owned after | $0.00 | 2008-09-12 | |
| 2008-08-15 | AXELSSON ANDERS Officer (Senior VP of Sales & Marketing) | 4 | Perforrmance Shares Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,917 2,916 owned after | $0.00 | 2008-08-18 | |
| 2008-08-12 holding as of filing | Robert N. Machlin Officer (Senior VP Products) | 3 | Securities beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2008-08-12 | |
| 2008-08-11 | Robert N. Machlin Officer (Senior VP Products) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $12.11 exercise price | 2008-08-12 | |
| 2008-05-27 | OSHMAN M KENNETH | OSHMAN TRUST DATED 7 10 1979 | O S VENTURES Director, Officer (Chairman of the Board & CEO), 10% Owner | 10% Owner | 10% Owner | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $13.32 exercise price | 2008-05-28 | |
| 2008-05-27 | 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 | $13.32 exercise price | 2008-05-28 | |
| 2008-05-27 | 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 | $13.32 exercise price | 2008-05-28 | |
| 2008-05-27 | 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 | $13.32 exercise price | 2008-05-28 | |
| 2008-05-27 | 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 | $13.32 exercise price | 2008-05-28 | |
| 2008-05-27 | 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 | $13.32 exercise price | 2008-05-28 | |
| 2008-02-15 holding as of filing | DENHOLM ROBYN M Director | 3 | No Securities beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2008-02-15 | |
| 2008-02-01 | AXELSSON ANDERS Officer (Senior VP of Sales & Marketing) | 4 | Perforrmance Shares Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,543 0 owned after | $0.00 | 2008-02-05 |