ECHELON CORP Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 34 rows in 2007. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2007-10-31: Reporting owner BRUGGINK FREDERIK; Form 4; Security Performance Shares; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2007-10-31: Reporting owner AXELSSON ANDERS; Form 4; Security Performance Shares; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2007-10-31: Reporting owner BLOCH KATHLEEN B; Form 4; Security Performance Shares; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2007-10-31: Reporting owner HARRIS RUSSELL; Form 4; Security Performance 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 |
|---|---|---|---|---|---|---|---|---|
| 2007-10-31 | BRUGGINK FREDERIK Officer (Sr. VP & GM of Ser Prov Gp) | 4 | Performance Shares Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,188 6,562 owned after | $0.00 | 2007-11-02 | |
| 2007-10-31 | AXELSSON ANDERS Officer (Senior VP of Sales & Marketing) | 4 | Performance Shares Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,188 6,562 owned after | $0.00 | 2007-11-01 | |
| 2007-10-31 | BLOCH KATHLEEN B Officer (Sr. VP, Gen Counsl & Secretary) | 4 | Performance Shares Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,188 6,562 owned after | $0.00 | 2007-11-01 | |
| 2007-10-31 | HARRIS RUSSELL Officer (Senior VP of Operations) | 4 | Performance Shares Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,188 6,562 owned after | $0.00 | 2007-11-01 | |
| 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 | Performance Shares Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,750 18,750 owned after | $0.00 | 2007-09-11 | |
| 2007-09-10 | AXELSSON ANDERS Officer (Senior VP of Sales & Marketing) | 4 | Performance Shares Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,750 8,750 owned after | $0.00 | 2007-09-11 | |
| 2007-09-10 | BLOCH KATHLEEN B Officer (Sr. VP, Gen Counsl & Secretary) | 4 | Performance Shares Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,750 8,750 owned after | $0.00 | 2007-09-11 | |
| 2007-09-10 | BRUGGINK FREDERIK Officer (Sr. VP & GM of Ser Prov Gp) | 4 | Performance Shares Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,250 11,250 owned after | $0.00 | 2007-09-11 | |
| 2007-09-10 | HARRIS RUSSELL Officer (Senior VP of Operations) | 4 | Performance Shares Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,250 11,250 owned after | $0.00 | 2007-09-11 | |
| 2007-09-10 | OSHMAN M KENNETH Director, Officer (Chairman of the Board & CEO), 10% Owner | 4 | Performance Shares Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,750 18,750 owned after | $0.00 | 2007-09-11 | |
| 2007-09-10 | YORMARK BEATRICE Officer (President and COO) | 4 | Performance Shares Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $0.00 | 2007-09-11 | |
| 2007-09-10 | STANFIELD OLIVER R Officer (Executive VP and CFO) | 4 | Performance Shares Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $0.00 | 2007-09-11 | |
| 2007-08-15 | STANFIELD OLIVER R Officer (Executive VP and CFO) | 4/A | Performance Shares Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,167 8,333 owned after | $0.00 | 2007-08-29 | |
| 2007-08-15 | STANFIELD OLIVER R Officer (Executive VP and CFO) | 4/A | Performance Shares Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,167 8,333 owned after | $0.00 | 2007-08-29 | |
| 2007-08-15 | BRUGGINK FREDERIK Officer (Sr. VP & GM of Ser Prov Gp) | 4 | Performance Shares Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,917 5,833 owned after | $0.00 | 2007-08-17 | |
| 2007-08-15 | YORMARK BEATRICE Officer (President and COO) | 4 | Performance Shares Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,167 8,333 owned after | $0.00 | 2007-08-16 | |
| 2007-08-15 | STANFIELD OLIVER R Officer (Executive VP and CFO) | 4 | Performance Shares Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,167 8,333 owned after | $0.00 | 2007-08-16 | |
| 2007-08-15 | HARRIS RUSSELL Officer (Senior VP of Operations) | 4 | Performance Shares Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,917 5,833 owned after | $0.00 | 2007-08-16 | |
| 2007-08-15 | BLOCH KATHLEEN B Officer (Sr. VP, Gen Counsl & Secretary) | 4 | Performance Shares Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,917 5,833 owned after | $0.00 | 2007-08-16 | |
| 2007-08-15 | AXELSSON ANDERS Officer (Senior VP of Sales & Marketing) | 4 | Performance Shares Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,917 5,833 owned after | $0.00 | 2007-08-16 | |
| 2007-02-08 | 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 | Performance Shares Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,593 35,593 owned after | $0.00 | 2007-02-12 | |
| 2007-02-08 | YORMARK BEATRICE Officer (President and COO) | 4 | Performance Shares Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,593 10,593 owned after | $0.00 | 2007-02-12 | |
| 2007-02-08 | STANFIELD OLIVER R Officer (Executive VP and CFO) | 4 | Performance Shares Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,322 9,322 owned after | $0.00 | 2007-02-12 | |
| 2007-02-08 | BLOCH KATHLEEN B Officer (Sr. VP, Gen Counsl & Secretary) | 4 | Performance Shares Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,932 5,932 owned after | $0.00 | 2007-02-12 | |
| 2007-02-08 | AXELSSON ANDERS Officer (Senior VP of Sales & Marketing) | 4 | Performance Shares Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,932 5,932 owned after | $0.00 | 2007-02-12 | |
| 2007-02-08 | BRUGGINK FREDERIK Officer (Sr. VP & GM of Ser Prov Gp) | 4 | Performance Shares Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,284 8,284 owned after | $0.00 | 2007-02-12 | |
| 2007-02-08 | HARRIS RUSSELL Officer (Senior VP of Operations) | 4 | Performance Shares Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,932 5,932 owned after | $0.00 | 2007-02-12 | |
| 2007-01-02 | OSHMAN TRUST DATED 7 10 1979 | OSHMAN M KENNETH | O S VENTURES 10% Owner | Director, Officer (Chairman of the Board & CEO), 10% Owner | 10% Owner | 4 | Performance Shares Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −36,928 0 owned after | $0.00 | 2007-01-04 | |
| 2007-01-02 | AXELSSON ANDERS Officer (Senior VP of Sales & Marketing) | 4 | Performance Shares Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,386 0 owned after | $0.00 | 2007-01-04 | |
| 2007-01-02 | BLOCH KATHLEEN B Officer (Sr. VP, Gen Counsl & Secretary) | 4 | Performance Shares Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,170 0 owned after | $0.00 | 2007-01-04 | |
| 2007-01-02 | BRUGGINK FREDERIK Officer (Sr. VP & GM of Ser Prov Gp) | 4 | Performance Shares Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,848 0 owned after | $0.00 | 2007-01-04 | |
| 2007-01-02 | HARRIS RUSSELL Officer (Senior VP of Operations) | 4 | Performance Shares Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,386 0 owned after | $0.00 | 2007-01-04 | |
| 2007-01-02 | STANFIELD OLIVER R Officer (Executive VP and CFO) | 4 | Performance Shares Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,079 0 owned after | $0.00 | 2007-01-04 | |
| 2007-01-02 | YORMARK BEATRICE Officer (President and COO) | 4 | Performance Shares Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,079 0 owned after | $0.00 | 2007-01-04 |