ECHELON CORP Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 22 rows in 2010. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2010-11-18: Reporting owner AXELSSON ANDERS; Form 4; Security Stock Appreciation Right; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2010-11-18: Reporting owner HARRIS RUSSELL; Form 4; Security Stock Appreciation Right; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2010-11-18: Reporting owner HARRIS RUSSELL; Form 4; Security Stock Appreciation Right; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2010-11-18: Reporting owner HARRIS RUSSELL; Form 4; Security Stock Appreciation Right; 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 |
|---|---|---|---|---|---|---|---|---|
| 2010-11-18 | AXELSSON ANDERS Officer (Senior VP of Sales & Marketing) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −40,000 0 owned after | $7.69 exercise price | 2010-11-19 | |
| 2010-11-18 | HARRIS RUSSELL Officer (Senior VP of Operations) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −41,891 0 owned after | $7.69 exercise price | 2010-11-19 | |
| 2010-11-18 | HARRIS RUSSELL Officer (Senior VP of Operations) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,577 0 owned after | $7.69 exercise price | 2010-11-19 | |
| 2010-11-18 | HARRIS RUSSELL Officer (Senior VP of Operations) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,354 0 owned after | $7.69 exercise price | 2010-11-19 | |
| 2010-11-10 | STANFIELD OLIVER R Officer (Executive VP and CFO) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −40,000 0 owned after | $7.69 exercise price | 2010-11-12 | |
| 2010-11-08 | O S VENTURES | OSHMAN M KENNETH | OSHMAN TRUST DATED 7 10 1979 10% Owner | Director, Officer (Executive Chairman), 10% Owner | 10% Owner | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −120,000 0 owned after | $7.69 exercise price | 2010-11-09 | |
| 2010-11-08 | O S VENTURES | OSHMAN M KENNETH | OSHMAN TRUST DATED 7 10 1979 10% Owner | Director, Officer (Executive Chairman), 10% Owner | 10% Owner | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −100,000 0 owned after | $7.69 exercise price | 2010-11-09 | |
| 2010-11-08 | O S VENTURES | OSHMAN M KENNETH | OSHMAN TRUST DATED 7 10 1979 10% Owner | Director, Officer (Executive Chairman), 10% Owner | 10% Owner | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −125,000 0 owned after | $7.69 exercise price | 2010-11-09 | |
| 2010-11-08 | STANFIELD OLIVER R Officer (Executive VP and CFO) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −40,000 40,000 owned after | $7.69 exercise price | 2010-11-09 | |
| 2010-11-05 | STANFIELD OLIVER R Officer (Executive VP and CFO) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 0 owned after | $7.69 exercise price | 2010-11-08 | |
| 2010-11-04 | HARRIS RUSSELL Officer (Senior VP of Operations) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,945 41,891 owned after | $7.69 exercise price | 2010-11-08 | |
| 2010-11-04 | STANFIELD OLIVER R Officer (Executive VP and CFO) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 0 owned after | $7.69 exercise price | 2010-11-08 | |
| 2010-10-31 | 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 | −2,187 0 owned after | $0.00 | 2010-11-02 | |
| 2010-10-23 | 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 7,500 owned after | $0.00 | 2010-10-26 | |
| 2010-09-30 | AXELSSON ANDERS Officer (Senior VP of Sales & Marketing) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 40,000 owned after | $7.69 exercise price | 2010-10-04 | |
| 2010-09-10 | 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 | −2,187 2,187 owned after | $0.00 | 2010-09-14 | |
| 2010-08-20 holding as of filing | SEGE RONALD Director, Officer (President and CEO) | 3 | Securities beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2010-08-20 | |
| 2010-08-19 | SEGE RONALD Director, Officer (President and CEO) | 4/A | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $7.46 exercise price | 2011-03-14 | |
| 2010-08-19 | SEGE RONALD Director, Officer (President and CEO) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $7.46 exercise price | 2010-08-20 | |
| 2010-01-04 | BRUGGINK FREDERIK Officer (Sr. VP & GM of Ser Prov Gp) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,563 19,687 owned after | $8.43 exercise price | 2010-01-06 | |
| 2010-01-04 | BRUGGINK FREDERIK Officer (Sr. VP & GM of Ser Prov Gp) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −27,334 32,666 owned after | $7.69 exercise price | 2010-01-06 | |
| 2010-01-04 | BRUGGINK FREDERIK Officer (Sr. VP & GM of Ser Prov Gp) | 4 | Stock Appreciation Right Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 0 owned after | $7.69 exercise price | 2010-01-06 |