FUSION-IO, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 58 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-12-16: Reporting owner ROBISON SHANE V; Form 4; Security stock option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-11-28: Reporting owner Smith Lance L.; Form 4; Security Employee stock option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-11-28: Reporting owner Smith Lance L.; Form 4; Security Employee stock option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-11-28: Reporting owner Carson Neil A.; 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 |
|---|---|---|---|---|---|---|---|---|
| 2011-12-16 | ROBISON SHANE V Director | 4 | 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 | $23.07 exercise price | 2011-12-19 | |
| 2011-11-28 | Smith Lance L. Officer (Chief Operating Officer) | 4 | Employee stock option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,219 533,781 owned after | $0.65 exercise price | 2011-11-29 | |
| 2011-11-28 | Smith Lance L. Officer (Chief Operating Officer) | 4 | Employee stock option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −147,500 52,500 owned after | $0.36 exercise price | 2011-11-29 | |
| 2011-11-28 | Carson Neil A. Officer (Chief Technology Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −81,354 312,812 owned after | $0.65 exercise price | 2011-11-29 | |
| 2011-11-28 | Lindquist Shawn J. Officer (Chief Legal Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −59,125 174,375 owned after | $0.65 exercise price | 2011-11-29 | |
| 2011-11-28 | Lindquist Shawn J. Officer (Chief Legal Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,352 124,648 owned after | $0.65 exercise price | 2011-11-29 | |
| 2011-11-28 | Dawson James L Officer (Exec. VP, Worldwide Sales) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −113,042 819,458 owned after | $0.65 exercise price | 2011-11-29 | |
| 2011-11-28 | WOLF DENNIS P Officer (Chief Financial Officer) | 4 | Employee stock option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −109,221 535,779 owned after | $0.65 exercise price | 2011-11-29 | |
| 2011-11-18 | EVAN DANA L 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 | $39.60 exercise price | 2011-11-22 | |
| 2011-11-18 | BINGHAM H RAYMOND 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 | $39.60 exercise price | 2011-11-22 | |
| 2011-11-18 | SCHAEPE CHRISTOPHER J Director, 10% Owner | 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 | $39.60 exercise price | 2011-11-22 | |
| 2011-11-18 | BASKETT FOREST Director, 10% Owner | 4 | Director 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 | $39.60 exercise price | 2011-11-22 | |
| 2011-11-18 | SANDELL SCOTT D Director, 10% Owner | 4 | Director 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 | $39.60 exercise price | 2011-11-22 | |
| 2011-09-30 | Smith Lance L. Officer (Chief Operating Officer) | 4 | Employee stock option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +270,000 270,000 owned after | $19.00 exercise price | 2011-10-03 | |
| 2011-09-30 | Dawson James L Officer (Exec. VP, Worldwide Sales) | 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 | $19.00 exercise price | 2011-10-03 | |
| 2011-09-30 | Lindquist Shawn J. Officer (Chief Legal Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +140,000 140,000 owned after | $19.00 exercise price | 2011-10-03 | |
| 2011-09-30 | Carson Neil A. Officer (Chief Technology Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +140,000 140,000 owned after | $19.00 exercise price | 2011-10-03 | |
| 2011-09-30 | White Rick C. Director, Officer (Chief Marketing Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +140,000 140,000 owned after | $19.00 exercise price | 2011-10-03 | |
| 2011-09-30 | WOLF DENNIS P 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) | +270,000 270,000 owned after | $19.00 exercise price | 2011-10-03 | |
| 2011-09-30 | Flynn David A. Director, Officer (Chairman, CEO & President) | 4 | Employee stock option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +520,000 520,000 owned after | $19.00 exercise price | 2011-10-03 | |
| 2011-06-14 | Smith Lance L. Officer (Chief Operating Officer) | 4 | Employee stock option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −160,000 200,000 owned after | $0.36 exercise price | 2011-06-16 | |
| 2011-06-14 | Carson Neil A. Officer (Chief Technology Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −29,166 170,834 owned after | $1.96 exercise price | 2011-06-16 | |
| 2011-06-14 | Carson Neil A. Officer (Chief Technology Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −55,834 394,166 owned after | $0.65 exercise price | 2011-06-16 | |
| 2011-06-14 | Dawson James L Officer (Exec. VP, Worldwide Sales) | 4 | Employee Stock Option (right to buy) Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −117,500 932,500 owned after | $0.65 exercise price | 2011-06-16 | |
| 2011-06-14 | Lindquist Shawn J. Officer (Chief Legal Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −76,500 233,500 owned after | $0.65 exercise price | 2011-06-16 | |
| 2011-06-14 | WOLF DENNIS P Officer (Chief Financial Officer) | 4 | Employee stock option (right to buy) Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −85,000 645,000 owned after | $0.65 exercise price | 2011-06-16 | |
| 2011-06-14 | Flynn David A. Director, Officer (Chairman, CEO & President) | 4 | Employee stock option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −473,683 986,726 owned after | $0.65 exercise price | 2011-06-16 | |
| 2011-06-14 | Flynn David A. Director, Officer (Chairman, CEO & President) | 4 | Employee stock option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −26,317 2,358,329 owned after | $1.96 exercise price | 2011-06-16 | |
| 2011-06-13 | BINGHAM H RAYMOND Director | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $0.65 exercise price | 2011-06-15 | |
| 2011-06-07 holding as of filing | BASKETT FOREST Director, 10% Owner | 3 | Employee Stock Option (right to buy) Derivative · Direct · (m) | Holding | $5.12 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | SANDELL SCOTT D Director, 10% Owner | 3 | Employee Stock Option (right to buy) Derivative · Direct · (m) | Holding | $5.12 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | SCHAEPE CHRISTOPHER J Director, 10% Owner | 3 | Employee stock option (right to buy) Derivative · Direct · (m) | Holding | $5.12 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | BINGHAM H RAYMOND Director | 3 | Stock option (right to buy) Derivative · Direct | Holding | $0.65 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | BINGHAM H RAYMOND Director | 3 | Stock option (right to buy) Derivative · Direct | Holding | $5.12 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | EVAN DANA L Director | 3 | Stock option (right to buy) Derivative · Direct | Holding | $5.12 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | Carson Neil A. Officer (Chief Technology Officer) | 3 | Employee stock option (right to buy) Derivative · Direct | Holding | $0.65 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | Carson Neil A. Officer (Chief Technology Officer) | 3 | Employee stock option (right to buy) Derivative · Direct | Holding | $1.96 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | Carson Neil A. Officer (Chief Technology Officer) | 3 | Employee stock option (right to buy) Derivative · Direct | Holding | $5.12 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | Smith Lance L. Officer (Chief Operating Officer) | 3 | Employee stock option (right to buy) Derivative · Direct | Holding | $0.36 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | Smith Lance L. Officer (Chief Operating Officer) | 3 | Employee stock option (right to buy) Derivative · Direct | Holding | $0.65 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | Smith Lance L. Officer (Chief Operating Officer) | 3 | Employee stock option (right to buy) Derivative · Direct | Holding | $0.65 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | Smith Lance L. Officer (Chief Operating Officer) | 3 | Employee stock option (right to buy) Derivative · Direct | Holding | $1.96 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | Smith Lance L. Officer (Chief Operating Officer) | 3 | Employee stock option (right to buy) Derivative · Direct | Holding | $5.12 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | White Rick C. Director, Officer (Chief Marketing Officer) | 3 | Employee stock option (right to buy) Derivative · Direct · (m) | Holding | $0.65 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | White Rick C. Director, Officer (Chief Marketing Officer) | 3 | Employee stock option (right to buy) Derivative · Direct · (m) | Holding | $1.96 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | White Rick C. Director, Officer (Chief Marketing Officer) | 3 | Employee stock option (right to buy) Derivative · Direct · (m) | Holding | $5.12 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | Dawson James L Officer (Exec. VP, Worldwide Sales) | 3 | Employee stock option (right to buy) Derivative · Direct · (m) | Holding | $0.65 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | Dawson James L Officer (Exec. VP, Worldwide Sales) | 3 | Employee stock option (right to buy) Derivative · Direct · (m) | Holding | $5.12 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | Lindquist Shawn J. Officer (Chief Legal Officer) | 3 | Employee stock option (right to buy) Derivative · Direct · (m) | Holding | $0.65 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | Lindquist Shawn J. Officer (Chief Legal Officer) | 3 | Employee stock option (right to buy) Derivative · Direct · (m) | Holding | $0.65 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | Lindquist Shawn J. Officer (Chief Legal Officer) | 3 | Employee stock option (right to buy) Derivative · Direct · (m) | Holding | $1.96 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | Lindquist Shawn J. Officer (Chief Legal Officer) | 3 | Employee stock option (right to buy) Derivative · Direct · (m) | Holding | $5.12 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | WOLF DENNIS P Officer (Chief Financial Officer) | 3 | Employee stock option (right to buy) Derivative · Direct · (m) | Holding | $0.65 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | WOLF DENNIS P Officer (Chief Financial Officer) | 3 | Employee stock option (right to buy) Derivative · Direct · (m) | Holding | $1.96 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | WOLF DENNIS P Officer (Chief Financial Officer) | 3 | Employee stock option (right to buy) Derivative · Direct · (m) | Holding | $5.12 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | Flynn David A. Director, Officer (Chairman, CEO & President) | 3 | Employee stock option (right to buy) Derivative · Direct | Holding | $0.65 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | Flynn David A. Director, Officer (Chairman, CEO & President) | 3 | Employee stock option (right to buy) Derivative · Direct | Holding | $1.96 exercise price | 2011-06-07 | ||
| 2011-06-07 holding as of filing | Flynn David A. Director, Officer (Chairman, CEO & President) | 3 | Employee stock option (right to buy) Derivative · Direct | Holding | $5.12 exercise price | 2011-06-07 |