HORIZON GLOBAL CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 9 rows, 9 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-03-01: Reporting owner Rice David G.; Form 4; Security Employee Stock Option Right to Purchase; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-03-01: Reporting owner Goldbaum Jay; Form 4; Security Employee Stock Option Right to Purchase; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-03-01: Reporting owner Zeffiro A Mark; Form 4; Security Employee Stock Option Right to Purchase; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2015-10-07: Reporting owner Rice David G.; Form 4; Security Employee Stock Option Right to Purchase; 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 |
|---|---|---|---|---|---|---|---|---|
| 2016-03-01 | Rice David G. Officer (Chief Financial Officer) | 4 | Employee Stock Option Right to Purchase Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,603 16,603 owned after | $10.08 exercise price | 2016-03-03 | |
| 2016-03-01 | Goldbaum Jay Officer (Legal Director, Secretary) | 4 | Employee Stock Option Right to Purchase Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,598 5,598 owned after | $10.08 exercise price | 2016-03-03 | |
| 2016-03-01 | Zeffiro A Mark Director, Officer (President, CEO) | 4 | Employee Stock Option Right to Purchase Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +66,794 66,794 owned after | $10.08 exercise price | 2016-03-03 | |
| 2015-10-07 | Rice David G. Officer (Chief Financial Officer) | 4 | Employee Stock Option Right to Purchase Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,559 2,559 owned after | $9.20 exercise price | 2015-10-09 | |
| 2015-10-07 | Zeffiro A Mark Director, Officer (President) | 4 | Employee Stock Option Right to Purchase Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,314 30,314 owned after | $9.20 exercise price | 2015-10-09 | |
| 2015-10-07 | Goldbaum Jay Officer (Legal Director, Secretary) | 4 | Employee Stock Option Right to Purchase Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +491 491 owned after | $9.20 exercise price | 2015-10-09 | |
| 2015-08-15 | Rice David G. Officer (Chief Financial Officer) | 4 | Employee Stock Option Right to Purchase Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,354 7,354 owned after | $11.02 exercise price | 2015-08-18 | |
| 2015-08-15 | Goldbaum Jay Officer (Legal Director, Secretary) | 4 | Employee Stock Option Right to Purchase Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,194 3,194 owned after | $11.02 exercise price | 2015-08-18 | |
| 2015-08-15 | Zeffiro A Mark Director, Officer (President) | 4 | Employee Stock Option Right to Purchase Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +84,499 84,499 owned after | $11.02 exercise price | 2015-08-18 |