Guidance Software, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 11 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-12-26: Reporting owner Limongelli Victor; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-05-01: Reporting owner PLAGA BARRY J; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-04-01: Reporting owner Limongelli Victor; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-04-01: Reporting owner PLAGA BARRY J; 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 |
|---|---|---|---|---|---|---|---|---|
| 2013-12-26 | Limongelli Victor Director, Officer (President, CEO and Director) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 157,701 owned after | $4.54 exercise price | 2013-12-30 | |
| 2013-05-01 | PLAGA BARRY J 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 | −5,000 0 owned after | $2.85 exercise price | 2013-05-03 | |
| 2013-04-01 | Limongelli Victor Director, Officer (President, CEO and Director) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 159,701 owned after | $4.54 exercise price | 2013-04-03 | |
| 2013-04-01 | PLAGA BARRY J 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 | −5,000 5,000 owned after | $2.85 exercise price | 2013-04-03 | |
| 2013-03-05 | Limongelli Victor Director, Officer (President, CEO and Director) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,000 174,701 owned after | $4.54 exercise price | 2013-03-06 | |
| 2013-03-04 | Limongelli Victor Director, Officer (President, CEO and Director) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,453 183,701 owned after | $4.54 exercise price | 2013-03-06 | |
| 2013-03-01 | PLAGA BARRY J 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 | −5,000 10,000 owned after | $2.85 exercise price | 2013-03-05 | |
| 2013-02-04 | Limongelli Victor Director, Officer (President, CEO and Director) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 189,154 owned after | $4.54 exercise price | 2013-02-06 | |
| 2013-02-01 | PLAGA BARRY J 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 | −5,000 15,000 owned after | $2.85 exercise price | 2013-02-05 | |
| 2013-01-07 | Limongelli Victor Director, Officer (President, CEO and Director) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 204,154 owned after | $4.54 exercise price | 2013-01-09 | |
| 2013-01-02 | PLAGA BARRY J 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 | −5,000 20,000 owned after | $2.85 exercise price | 2013-01-04 |