EQUAL ENERGY LTD. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 22 rows, 22 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-05-28: Reporting owner Klapko Donald Charles; Form 4; Security Dividend Equivalent Rights; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-05-28: Reporting owner Chimahusky John S.; Form 4; Security Dividend Equivalent Rights; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-05-28: Reporting owner Smalling Scott; Form 4; Security Dividend Equivalent Rights; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-01-10: Reporting owner Klapko Donald Charles; Form 4; Security Dividend Eqivalent Rights; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-05-28 | Klapko Donald Charles Director, Officer (President and CEO) | 4 | Dividend Equivalent Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,313 12,399 owned after | $0.00 | 2014-06-06 | |
| 2014-05-28 | Chimahusky John S. Officer (Senior VP and COO) | 4 | Dividend Equivalent Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +799 4,093 owned after | $0.00 | 2014-06-06 | |
| 2014-05-28 | Smalling Scott Officer (Senior VP & CFO) | 4 | Dividend Equivalent Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +560 3,400 owned after | $0.00 | 2014-06-06 | |
| 2014-01-10 | Klapko Donald Charles Director, Officer (President and CEO) | 4 | Dividend Eqivalent Rights Derivative · Direct | C Conversion of derivative security | −4,304 10,086 owned after | $5.70 exercise price | 2014-02-12 | |
| 2014-01-10 | Chimahusky John S. Officer (Senior VP and COO) | 4 | Dividend Equivalent Rights Derivative · Direct | C Conversion of derivative security | −1,323 3,293 owned after | $5.70 exercise price | 2014-02-11 | |
| 2014-01-10 | Smalling Scott Officer (Senior VP & CFO) | 4 | Dividend Equivalent Rights Derivative · Direct | C Conversion of derivative security | −1,420 2,840 owned after | $5.83 exercise price | 2014-02-11 | |
| 2013-12-20 | Klapko Donald Charles Director, Officer (President and CEO) | 4 | Dividend Equivalent Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,400 14,390 owned after | $0.00 | 2014-01-06 | |
| 2013-12-20 | Chimahusky John S. Officer (Senior VP and COO) | 4 | Dividend Equivalent Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,143 4,616 owned after | $0.00 | 2014-01-03 | |
| 2013-12-20 | Smalling Scott Officer (VP & CFO) | 4 | Dividend Equivalent Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +860 4,260 owned after | $0.00 | 2014-01-03 | |
| 2013-10-03 | Klapko Donald Charles Director, Officer (President and CEO) | 4 | Dividend Equivalent Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,660 10,991 owned after | $0.00 | 2013-10-07 | |
| 2013-10-03 | Chimahusky John S. Officer (Senior VP and COO) | 4 | Dividend Equivalent Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,366 3,473 owned after | $0.00 | 2013-10-03 | |
| 2013-10-03 | Smalling Scott Officer (VP & CFO) | 4 | Dividend Equivalent Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | 3,400 owned after | $0.00 | 2013-10-03 | |
| 2013-09-30 | Chimahusky John S. Officer (Senior VP and COO) | 4 | Dividend Equivalent Rights Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −500 2,107 owned after | $0.00 | 2013-10-03 | |
| 2013-07-10 | Chapman Wendell Percy Officer (Senior VP and CFO) | 4/A | Dividend Equivalent Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,405 3,045 owned after | $0.00 | 2013-08-12 | |
| 2013-07-10 | Smalling Scott Officer (VP & CFO) | 4 | Dividend Equivalent Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,142 2,475 owned after | $0.00 | 2013-07-12 | |
| 2013-07-10 | Klapko Donald Charles Director, Officer (President and CEO) | 4 | Dividend Equivalent Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,516 7,330 owned after | $0.00 | 2013-07-12 | |
| 2013-07-10 | Chimahusky John S. Officer (Senior VP and COO) | 4 | Dividend Equivalent Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,686 2,607 owned after | $0.00 | 2013-07-12 | |
| 2013-07-10 | Chapman Wendell Percy Officer (Senior VP and CFO) | 4 | Dividend Equivalent Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,405 3,045 owned after | $0.00 | 2013-07-12 | |
| 2013-04-02 | Chimahusky John S. Officer (Senior VP and COO) | 4 | Dividend Equivalent Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +921 921 owned after | $0.00 | 2013-04-05 | |
| 2013-04-02 | Chapman Wendell Percy Officer (Senior VP and CFO) | 4 | Dividend Equivalent Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,640 1,640 owned after | $0.00 | 2013-04-04 | |
| 2013-04-02 | Klapko Donald Charles Director, Officer (President and CEO) | 4 | Dividend Equivalent Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,815 2,815 owned after | $0.00 | 2013-04-04 | |
| 2013-04-02 | Smalling Scott Officer (VP & CFO) | 4 | Dividend Equivalent Rights Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,333 1,333 owned after | $0.00 | 2013-04-04 |