EDELMAN FINANCIAL GROUP INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 18 rows, 18 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-09-20: Reporting owner McClelland Scott; Form 4; Security Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2012-09-20: Reporting owner Duncan Charles William III; Form 4; Security Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2012-09-20: Reporting owner BEAN RICHARD E; Form 4; Security Stock Option (Right to But); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2012-09-20: Reporting owner NIEMI ALBERT W JR; Form 4; Security Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-09-20 | McClelland Scott Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −5,000 0 owned after | $13.60 exercise price | 2012-09-20 | |
| 2012-09-20 | Duncan Charles William III Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −5,000 0 owned after | $13.60 exercise price | 2012-09-20 | |
| 2012-09-20 | BEAN RICHARD E Director | 4 | Stock Option (Right to But) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $13.60 exercise price | 2012-09-20 | |
| 2012-09-20 | NIEMI ALBERT W JR Director | 4 | Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $13.60 exercise price | 2012-09-20 | |
| 2012-09-20 | Unger John Thomas Officer (Sr. VP and General Counsel) | 4 | Stock Option (Right to But) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $16.81 exercise price | 2012-09-20 | |
| 2010-01-07 | BALL GEORGE L Director, Officer (Chief Executive Officer) | 4 | Option (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −25,000 0 owned after | $4.44 | 2010-03-29 | |
| 2010-01-07 | SANDERS DON A Director, Officer (Vice Chairman) | 4 | Option (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −30,000 0 owned after | $4.44 | 2010-03-29 | |
| 2010-01-07 | MORRIS BENJAMIN T Director, Officer (Vice Chairman) | 4 | Option (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −25,000 0 owned after | $4.44 | 2010-03-29 | |
| 2008-09-08 | BERRY RICK Officer (Chief Financial Officer) | 4/A | Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −30,000 0 owned after | $4.76 | 2010-03-30 | |
| 2008-09-08 | BERRY RICK Officer (Chief Financial Officer) | 4 | Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −30,000 0 owned after | $4.76 | 2008-09-09 | |
| 2008-03-10 holding as of filing | MCMAKEN BRUCE R Officer (Executive Vice President) | 3 | Option (right to buy) Derivative · Direct | Holding | $4.44 exercise price | 2008-03-10 | ||
| 2008-02-01 | GARRISON ROBERT E II Other (Formerly President) | 4 | Option (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −40,000 0 owned after | $4.63 | 2009-09-03 | |
| 2008-02-01 | GARRISON ROBERT E II Other (Formerly President) | 4 | Option (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −11,232 0 owned after | $4.76 | 2009-09-03 | |
| 2008-02-01 | GARRISON ROBERT E II Other (Formerly President) | 4 | Option (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −38,162 0 owned after | $5.10 | 2009-09-03 | |
| 2008-02-01 | GARRISON ROBERT E II Director, Officer (President) | 4 | Option (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −40,000 0 owned after | $4.63 | 2008-02-05 | |
| 2008-02-01 | GARRISON ROBERT E II Director, Officer (President) | 4 | Option (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −11,232 0 owned after | $4.76 | 2008-02-05 | |
| 2008-02-01 | GARRISON ROBERT E II Director, Officer (President) | 4 | Option (Right to Buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −38,162 0 owned after | $5.10 | 2008-02-05 | |
| 2000-01-07 | MCMAKEN BRUCE R Officer (Executive Vice President) | 4 | Option (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −15,000 0 owned after | $4.44 | 2010-03-29 |