ECHELON CORP Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 12 rows in 2009. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-11-12: Reporting owner ANDERSON Michael T.; Form 3; Security Securities beneficially owned; Transaction Holding.
- 2009-11-10: Reporting owner ANDERSON Michael T.; Form 4; Security Stock Appreciation Right; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-10-23: Reporting owner AXELSSON ANDERS; Form 4; Security Perforrmance Shares; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2009-09-10: Reporting owner AXELSSON ANDERS; Form 4; Security Perforrmance Shares; 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 |
|---|---|---|---|---|---|---|---|---|
| 2009-11-12 holding as of filing | ANDERSON Michael T. Officer (Sr. Vice President) | 3 | Securities beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2009-11-12 | |
| 2009-11-10 | ANDERSON Michael T. Officer (Sr. Vice President) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $12.82 exercise price | 2009-11-12 | |
| 2009-10-23 | 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 | −3,750 11,250 owned after | $0.00 | 2009-10-26 | |
| 2009-09-10 | 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 4,374 owned after | $0.00 | 2009-09-14 | |
| 2009-08-15 | 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 | −2,916 0 owned after | $0.00 | 2009-08-18 | |
| 2009-05-14 | 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) | +30,000 30,000 owned after | $7.47 exercise price | 2009-05-18 | |
| 2009-05-14 | 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) | +30,000 30,000 owned after | $7.47 exercise price | 2009-05-18 | |
| 2009-05-14 | 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 | $7.47 exercise price | 2009-05-18 | |
| 2009-05-14 | 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) | +30,000 30,000 owned after | $7.47 exercise price | 2009-05-18 | |
| 2009-05-14 | 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) | +30,000 30,000 owned after | $7.47 exercise price | 2009-05-18 | |
| 2009-05-14 | 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) | +33,750 33,750 owned after | $7.47 exercise price | 2009-05-18 | |
| 2009-05-14 | O S VENTURES | OSHMAN TRUST DATED 7 10 1979 | 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) | +75,000 75,000 owned after | $7.47 exercise price | 2009-05-18 |