ECHELON CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 28 rows in 2007. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2007-09-11: Reporting owner AXELSSON ANDERS; Form 4; Security Employee Stock Option (Right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2007-09-05: Reporting owner HARRIS RUSSELL; Form 4; Security Employee Stock Option (Right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2007-09-05: Reporting owner HARRIS RUSSELL; Form 4; Security Employee Stock Option (Right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2007-09-04: Reporting owner AXELSSON ANDERS; Form 4; Security Employee Stock Option (Right to buy); 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 |
|---|---|---|---|---|---|---|---|---|
| 2007-09-11 | AXELSSON ANDERS Officer (Senior VP of Sales & Marketing) | 4 | Employee Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 34,582 owned after | $8.52 exercise price | 2007-09-12 | |
| 2007-09-05 | HARRIS RUSSELL Officer (Senior VP of Operations) | 4 | Employee Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −17,500 17,500 owned after | $8.19 exercise price | 2007-09-07 | |
| 2007-09-05 | HARRIS RUSSELL Officer (Senior VP of Operations) | 4 | Employee Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,315 0 owned after | $12.91 exercise price | 2007-09-07 | |
| 2007-09-04 | AXELSSON ANDERS Officer (Senior VP of Sales & Marketing) | 4 | Employee Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,419 44,582 owned after | $8.52 exercise price | 2007-09-05 | |
| 2007-08-30 | BRUGGINK FREDERIK Officer (Sr. VP & GM of Ser Prov Gp) | 4 | Employee stock option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 0 owned after | $12.91 exercise price | 2007-08-30 | |
| 2007-08-14 | MAXFIELD ROBERT R Director | 4 | Director Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 0 owned after | $14.77 exercise price | 2007-08-16 | |
| 2007-08-14 | MAXFIELD ROBERT R Director | 4 | Director Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 0 owned after | $10.31 exercise price | 2007-08-16 | |
| 2007-08-13 | HARRIS RUSSELL Officer (Senior VP of Operations) | 4 | Employee Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −24,328 125,672 owned after | $16.44 exercise price | 2007-08-15 | |
| 2007-08-13 | HARRIS RUSSELL Officer (Senior VP of Operations) | 4 | Employee Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −39,685 10,315 owned after | $12.91 exercise price | 2007-08-15 | |
| 2007-08-13 | AXELSSON ANDERS Officer (Senior VP of Sales & Marketing) | 4 | Employee Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 55,001 owned after | $8.52 exercise price | 2007-08-15 | |
| 2007-08-09 | BLOCH KATHLEEN B Officer (Sr. VP, Gen Counsl & Secretary) | 4 | Employee Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,556 0 owned after | $8.52 exercise price | 2007-08-13 | |
| 2007-08-09 | BLOCH KATHLEEN B Officer (Sr. VP, Gen Counsl & Secretary) | 4 | Employee Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,217 0 owned after | $10.89 exercise price | 2007-08-13 | |
| 2007-08-09 | BLOCH KATHLEEN B Officer (Sr. VP, Gen Counsl & Secretary) | 4 | Employee Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −54,783 0 owned after | $8.52 exercise price | 2007-08-13 | |
| 2007-08-08 | YORMARK BEATRICE Officer (President and COO) | 4 | Employee Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −80,000 0 owned after | $12.91 exercise price | 2007-08-10 | |
| 2007-08-08 | RAFAEL BETSY Director | 4 | Director stock option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 0 owned after | $8.06 exercise price | 2007-08-09 | |
| 2007-08-07 | STANFIELD OLIVER R Officer (Executive VP and CFO) | 4 | Employee Stock Option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −80,000 0 owned after | $12.91 exercise price | 2007-08-09 | |
| 2007-06-05 | BLOCH KATHLEEN B Officer (Sr. VP, Gen Counsl & Secretary) | 4 | Employee Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,667 0 owned after | $12.91 exercise price | 2007-06-06 | |
| 2007-06-05 | HARRIS RUSSELL Officer (Senior VP of Operations) | 4 | Employee Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,757 2,354 owned after | $8.52 exercise price | 2007-06-06 | |
| 2007-06-05 | HARRIS RUSSELL Officer (Senior VP of Operations) | 4 | Employee Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −19,423 5,577 owned after | $8.52 exercise price | 2007-06-06 | |
| 2007-06-01 | AXELSSON ANDERS Officer (Senior VP of Sales & Marketing) | 4 | Employee Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 75,001 owned after | $8.52 exercise price | 2007-06-05 | |
| 2007-05-29 | HARRIS RUSSELL Officer (Senior VP of Operations) | 4 | Employee Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,889 9,111 owned after | $8.52 exercise price | 2007-05-30 | |
| 2007-05-15 | FINOCCHIO ROBERT J Director | 4 | Director stock option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $13.74 exercise price | 2007-05-16 | |
| 2007-05-15 | MOLEY RICHARD M Director | 4 | Director stock option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $13.74 exercise price | 2007-05-16 | |
| 2007-05-15 | MARKKULA ARMAS CLIFFORD Director | 4 | Director stock option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $13.74 exercise price | 2007-05-16 | |
| 2007-05-15 | MAXFIELD ROBERT R Director | 4 | Director stock option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $13.74 exercise price | 2007-05-16 | |
| 2007-05-15 | RAFAEL BETSY Director | 4 | Director stock option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $13.74 exercise price | 2007-05-16 | |
| 2007-05-15 | SONSINI LARRY W Director | 4 | Director stock option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $13.74 exercise price | 2007-05-16 | |
| 2007-05-07 | HARRIS RUSSELL Officer (Senior VP of Operations) | 4 | Employee Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 35,000 owned after | $8.52 exercise price | 2007-05-08 |