EDGEWAVE, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 93 rows, 93 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-01-27: Reporting owner van Hedel Bart AM; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-08-08: Reporting owner van Hedel Bart AM; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-08-08: Reporting owner POLANEN HUMPHREY P; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-08-08: Reporting owner Geitzen Thalia; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-01-27 | van Hedel Bart AM Director, 10% Owner | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,197 0 owned after | $0.25 exercise price | 2012-04-11 | |
| 2011-08-08 | van Hedel Bart AM Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 229,377 owned after | $0.26 exercise price | 2011-08-10 | |
| 2011-08-08 | POLANEN HUMPHREY P Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 200,000 owned after | $0.26 exercise price | 2011-08-10 | |
| 2011-08-08 | Geitzen Thalia Officer (VP of Finance) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 200,000 owned after | $0.26 exercise price | 2011-08-10 | |
| 2011-08-08 | BAUMEL WILLIAM R Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $0.26 exercise price | 2011-08-10 | |
| 2010-05-05 holding as of filing | Nugent Brian T Officer (Chief Operating Officer) | 3 | Non-Qualified Stock Option (right to buy) Derivative · Direct | Holding | $0.29 exercise price | 2010-05-05 | ||
| 2010-04-28 | Nugent Brian T Officer (Chief Operating Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500,000 500,000 owned after | $0.29 exercise price | 2010-05-05 | |
| 2010-01-28 | van Hedel Bart AM Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 183,574 owned after | $0.22 exercise price | 2010-02-01 | |
| 2010-01-28 | POLANEN HUMPHREY P Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 150,000 owned after | $0.22 exercise price | 2010-02-01 | |
| 2010-01-19 | Ryan Louis E Director, Officer (Chief Executive Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 680,000 owned after | $0.20 exercise price | 2010-01-21 | |
| 2009-12-17 | Yin Steven L Officer (VP, Sales & Marketing) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500 344,462 owned after | $0.16 exercise price | 2009-12-18 | |
| 2009-12-17 | Geitzen Thalia Officer (VP of Finance) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 150,000 owned after | $0.16 exercise price | 2009-12-18 | |
| 2009-09-14 holding as of filing | van Hedel Bart AM Director, 10% Owner | 3/A | Stock Options Derivative · Direct · (m) | Holding | $1.19 exercise price | 2009-09-14 | ||
| 2009-09-14 holding as of filing | van Hedel Bart AM Director, 10% Owner | 3/A | Stock Options Derivative · Direct · (m) | Holding | $1.19 exercise price | 2009-09-14 | ||
| 2009-09-14 holding as of filing | van Hedel Bart AM Director, 10% Owner | 3/A | Stock Options Derivative · Direct · (m) | Holding | $1.19 exercise price | 2009-09-14 | ||
| 2009-09-14 holding as of filing | van Hedel Bart AM Director, 10% Owner | 3/A | Stock Options Derivative · Direct · (m) | Holding | $0.59 exercise price | 2009-09-14 | ||
| 2009-09-14 holding as of filing | van Hedel Bart AM Director, 10% Owner | 3/A | Stock Options Derivative · Direct · (m) | Holding | $0.59 exercise price | 2009-09-14 | ||
| 2009-09-14 holding as of filing | van Hedel Bart AM Director, 10% Owner | 3/A | Stock Options Derivative · Direct · (m) | Holding | $0.59 exercise price | 2009-09-14 | ||
| 2009-09-14 holding as of filing | van Hedel Bart AM Director, 10% Owner | 3/A | Stock Options Derivative · Direct · (m) | Holding | $0.59 exercise price | 2009-09-14 | ||
| 2009-09-14 holding as of filing | van Hedel Bart AM Director, 10% Owner | 3/A | Stock Options Derivative · Direct · (m) | Holding | $5.20 exercise price | 2009-09-14 | ||
| 2009-09-14 holding as of filing | van Hedel Bart AM Director, 10% Owner | 3/A | Stock Options Derivative · Direct · (m) | Holding | $3.71 exercise price | 2009-09-14 | ||
| 2009-07-13 holding as of filing | Geitzen Thalia Officer (VP of Finance) | 3 | Non-Qualified Stock Option (right to buy) Derivative · Direct | Holding | $0.20 exercise price | 2009-07-13 | ||
| 2009-07-09 | Geitzen Thalia Officer (VP of Finance) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 130,000 owned after | $0.20 exercise price | 2009-07-13 | |
| 2009-07-09 | Ryan Louis E Director, Officer (Interim CEO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 580,000 owned after | $0.20 exercise price | 2009-07-13 | |
| 2009-07-09 | van Hedel Bart AM Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 137,771 owned after | $0.20 exercise price | 2009-07-10 | |
| 2009-07-09 | POLANEN HUMPHREY P Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 100,000 owned after | $0.20 exercise price | 2009-07-09 | |
| 2009-04-02 | Yin Steven L Officer (EVP, Sales & Marketing) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 341,962 owned after | $0.15 exercise price | 2009-11-20 | |
| 2009-04-02 | Yin Steven L Officer (EVP, Sales & Marketing) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 341,962 owned after | $0.15 exercise price | 2009-04-03 | |
| 2009-04-02 | Ryan Louis E Director, Officer (CEO and CFO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +165,000 530,000 owned after | $0.15 exercise price | 2009-04-03 | |
| 2009-02-10 | van Hedel Bart AM Director, 10% Owner | 4 | Stock Options Derivative · Direct | J Other acquisition or disposition (describe transaction) | +4,197 4,197 owned after | $0.25 | 2010-05-21 | |
| 2009-02-10 | van Hedel Bart AM Director, 10% Owner | 4 | Stock Options Derivative · Direct | J Other acquisition or disposition (describe transaction) | +4,197 4,197 owned after | $0.25 | 2010-05-21 | |
| 2009-02-10 | van Hedel Bart AM Director, 10% Owner | 4 | Stock Options Derivative · Direct | J Other acquisition or disposition (describe transaction) | +4,197 4,197 owned after | $0.25 | 2010-05-21 | |
| 2009-02-10 | van Hedel Bart AM Director, 10% Owner | 4 | Stock Options Derivative · Direct | J Other acquisition or disposition (describe transaction) | +4,197 4,197 owned after | $0.25 | 2010-05-21 | |
| 2009-02-10 | van Hedel Bart AM Director, 10% Owner | 4 | Stock Options Derivative · Direct | J Other acquisition or disposition (describe transaction) | +8,393 8,393 owned after | $0.25 | 2010-05-21 | |
| 2009-02-10 | van Hedel Bart AM Director, 10% Owner | 4 | Stock Options Derivative · Direct | J Other acquisition or disposition (describe transaction) | +8,393 8,393 owned after | $0.25 | 2010-05-21 | |
| 2009-02-10 | van Hedel Bart AM Director, 10% Owner | 4 | Stock Options Derivative · Direct | J Other acquisition or disposition (describe transaction) | +50,000 50,000 owned after | $0.25 | 2010-05-21 | |
| 2008-08-21 | Yin Steven L Officer (VP, Sales & Marketing) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 316,962 owned after | $0.40 exercise price | 2008-08-25 | |
| 2008-08-19 | Ryan Louis E Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 365,000 owned after | $0.40 exercise price | 2008-08-21 | |
| 2007-11-26 | BROOMFIELD SCOTT Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $0.57 exercise price | 2007-11-28 | |
| 2007-11-26 | Ryan Louis E Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +175,000 175,000 owned after | $0.57 exercise price | 2007-11-28 | |
| 2007-07-23 | Lochart Andrew Matthews Officer (Vice President of Marketing) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +85,000 85,000 owned after | $0.82 exercise price | 2007-07-25 | |
| 2007-07-23 | Ryan Louis E Director | 4 | Employee Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −25,000 25,000 owned after | $0.82 exercise price | 2007-07-25 | |
| 2007-02-13 holding as of filing | WELLER WILLIAM BRADFORD Officer (VP, Legal Affairs) | 3/A | Employee Stock Option (right to buy) Derivative · Direct | Holding | $5.04 exercise price | 2007-02-13 | ||
| 2007-02-13 holding as of filing | Riedler Alfred F Officer (Chief Financial Officer) | 3/A | Employee Stock Option (right to buy) Derivative · Direct | Holding | $5.20 exercise price | 2007-02-13 | ||
| 2007-02-13 holding as of filing | Arnold Richard Walker Director | 3/A | Stock Option (Right to Buy) Derivative · Direct | Holding | $3.71 exercise price | 2007-02-13 | ||
| 2007-01-11 | Saxton-Getty Troy Officer (VP, GM, On-Demand Services) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −150,000 0 owned after | $2.30 exercise price | 2007-03-01 | |
| 2007-01-11 | Saxton-Getty Troy Officer (VP, GM, On-Demand Services) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $1.95 exercise price | 2007-03-01 | |
| 2007-01-11 | Ryan Louis E Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −50,000 0 owned after | $3.71 exercise price | 2007-01-16 | |
| 2007-01-11 | Ryan Louis E Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.95 exercise price | 2007-01-16 | |
| 2007-01-11 | Arnold Richard Walker Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −50,000 0 owned after | $3.71 exercise price | 2007-01-12 | |
| 2007-01-11 | Arnold Richard Walker Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.95 exercise price | 2007-01-12 | |
| 2007-01-11 | WELLER WILLIAM BRADFORD Officer (VP, Legal Affairs) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −50,000 0 owned after | $5.04 exercise price | 2007-01-12 | |
| 2007-01-11 | WELLER WILLIAM BRADFORD Officer (VP, Legal Affairs) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.95 exercise price | 2007-01-12 | |
| 2007-01-11 | Riedler Alfred F Officer (Chief Financial Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,981 0 owned after | $5.02 exercise price | 2007-01-12 | |
| 2007-01-11 | Riedler Alfred F Officer (Chief Financial Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,981 20,981 owned after | $1.95 exercise price | 2007-01-12 | |
| 2007-01-11 | Rossi Vincent A Director, Officer (President & CEO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −480,000 0 owned after | $5.04 exercise price | 2007-01-12 | |
| 2007-01-11 | Rossi Vincent A Director, Officer (President & CEO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +480,000 480,000 owned after | $1.95 exercise price | 2007-01-12 | |
| 2006-12-28 holding as of filing | Crowe Robert M Officer (VP, Product Development) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $1.19 exercise price | 2006-12-28 | ||
| 2006-12-28 holding as of filing | Saxton-Getty Troy Officer (VP, GM, On-Demand Services) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $2.30 exercise price | 2006-12-28 | ||
| 2006-12-28 holding as of filing | Yin Steven L Officer (VP, Sales & Marketing) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $0.81 exercise price | 2006-12-28 | ||
| 2006-12-18 | Riedler Alfred F Officer (Chief Financial Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $1.90 exercise price | 2006-12-20 | |
| 2006-12-18 | Yin Steven L Officer (VP, Sales & Marketing) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $1.90 exercise price | 2006-12-20 | |
| 2006-12-18 | Rossi Vincent A Director, Officer (President & CEO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $1.90 exercise price | 2006-12-20 | |
| 2006-12-18 | WELLER WILLIAM BRADFORD Officer (VP, Legal Affairs) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $1.90 exercise price | 2006-12-20 | |
| 2006-09-15 holding as of filing | Ryan Louis E Director | 3 | Stock Options Derivative · Direct | Holding | $3.71 exercise price | 2006-09-15 | ||
| 2006-09-12 holding as of filing | Arnold Richard Walker Director | 3 | Stock Options Derivative · Direct | Holding | $3.71 exercise price | 2006-09-12 | ||
| 2006-09-12 holding as of filing | van Hedel Bart A M Director, 10% Owner | 3 | Stock Options Derivative · Direct · (m) | Holding | $1.19 exercise price | 2006-09-12 | ||
| 2006-09-12 holding as of filing | van Hedel Bart A M Director, 10% Owner | 3 | Stock Options Derivative · Direct · (m) | Holding | $1.19 exercise price | 2006-09-12 | ||
| 2006-09-12 holding as of filing | van Hedel Bart A M Director, 10% Owner | 3 | Stock Options Derivative · Direct · (m) | Holding | $1.19 exercise price | 2006-09-12 | ||
| 2006-09-12 holding as of filing | van Hedel Bart A M Director, 10% Owner | 3 | Stock Options Derivative · Direct · (m) | Holding | $0.59 exercise price | 2006-09-12 | ||
| 2006-09-12 holding as of filing | van Hedel Bart A M Director, 10% Owner | 3 | Stock Options Derivative · Direct · (m) | Holding | $0.59 exercise price | 2006-09-12 | ||
| 2006-09-12 holding as of filing | van Hedel Bart A M Director, 10% Owner | 3 | Stock Options Derivative · Direct · (m) | Holding | $0.59 exercise price | 2006-09-12 | ||
| 2006-09-12 holding as of filing | van Hedel Bart A M Director, 10% Owner | 3 | Stock Options Derivative · Direct · (m) | Holding | $0.59 exercise price | 2006-09-12 | ||
| 2006-09-12 holding as of filing | van Hedel Bart A M Director, 10% Owner | 3 | Stock Options Derivative · Direct · (m) | Holding | $5.20 exercise price | 2006-09-12 | ||
| 2006-09-12 holding as of filing | van Hedel Bart A M Director, 10% Owner | 3 | Stock Options Derivative · Direct · (m) | Holding | $3.71 exercise price | 2006-09-12 | ||
| 2006-09-07 | Ryan Louis E Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $3.71 exercise price | 2007-02-13 | |
| 2006-09-07 | BROOMFIELD SCOTT Director, Officer (VP of Corporate Development) | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $3.71 exercise price | 2006-09-11 | |
| 2006-09-07 | LAVITT MEL S Director | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 72,966 owned after | $3.71 exercise price | 2006-09-11 | |
| 2006-09-07 | POLANEN HUMPHREY P Director | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $3.71 exercise price | 2006-09-11 | |
| 2006-08-22 holding as of filing | WELLER WILLIAM BRADFORD | 3 | Stock Options Derivative · Direct | Holding | $5.04 exercise price | 2006-08-22 | ||
| 2006-08-16 holding as of filing | LAVITT MEL S Director | 3 | Stock Options Derivative · Direct | Holding | $0.59 exercise price | 2006-08-16 | ||
| 2006-08-16 holding as of filing | LAVITT MEL S Director | 3 | Stock Options Derivative · Direct | Holding | $0.59 exercise price | 2006-08-16 | ||
| 2006-08-16 holding as of filing | LAVITT MEL S Director | 3 | Stock Options Derivative · Direct | Holding | $0.59 exercise price | 2006-08-16 | ||
| 2006-08-16 holding as of filing | LAVITT MEL S Director | 3 | Stock Options Derivative · Direct | Holding | $0.59 exercise price | 2006-08-16 | ||
| 2006-08-16 holding as of filing | LAVITT MEL S Director | 3 | Stock Options Derivative · Direct | Holding | $5.20 exercise price | 2006-08-16 | ||
| 2006-08-16 holding as of filing | Riedler Alfred F Officer (Chief Financial Officer) | 3 | Stock Options Derivative · Direct | Holding | $0.59 exercise price | 2006-08-16 | ||
| 2006-08-16 holding as of filing | Riedler Alfred F Officer (Chief Financial Officer) | 3 | Stock Options Derivative · Direct | Holding | $0.59 exercise price | 2006-08-16 | ||
| 2006-08-16 holding as of filing | Riedler Alfred F Officer (Chief Financial Officer) | 3 | Stock Options Derivative · Direct | Holding | $0.59 exercise price | 2006-08-16 | ||
| 2006-08-16 holding as of filing | Riedler Alfred F Officer (Chief Financial Officer) | 3 | Stock Options Derivative · Direct | Holding | $0.81 exercise price | 2006-08-16 | ||
| 2006-08-16 holding as of filing | Riedler Alfred F Officer (Chief Financial Officer) | 3 | Stock Options Derivative · Direct | Holding | $5.20 exercise price | 2006-08-16 | ||
| 2006-08-16 holding as of filing | Jones John Ellis Director, Officer (CEO and President) | 3 | Stock Options Derivative · Direct | Holding | $0.59 exercise price | 2006-08-16 | ||
| 2006-07-28 | Rossi Vincent A Director, Officer (President & CEO) | 4/A | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +480,000 480,000 owned after | $5.04 exercise price | 2007-02-13 | |
| 2006-07-28 | Rossi Vincent A Officer (Chief Operating Officer) | 4 | Stock Options Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +50,000 50,000 owned after | $5.04 exercise price | 2006-08-22 |