HOT TOPIC INC /CA/ Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 39 rows in 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-12-18: Reporting owner COOK GERALD; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-12-18: Reporting owner COOK GERALD; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-12-17: Reporting owner COOK GERALD; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-12-11: Reporting owner COOK GERALD; Form 4; Security Non-Qualified 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 |
|---|---|---|---|---|---|---|---|---|
| 2012-12-18 | COOK GERALD Officer (Chief Store Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,800 190,950 owned after | $5.77 exercise price | 2012-12-19 | |
| 2012-12-18 | COOK GERALD Officer (Chief Store Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,856 68,750 owned after | $6.37 exercise price | 2012-12-19 | |
| 2012-12-17 | COOK GERALD Officer (Chief Store Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,844 71,606 owned after | $6.37 exercise price | 2012-12-18 | |
| 2012-12-11 | COOK GERALD Officer (Chief Store Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,600 73,450 owned after | $6.37 exercise price | 2012-12-12 | |
| 2012-12-07 | COOK GERALD Officer (Chief Store Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −19,700 79,050 owned after | $6.37 exercise price | 2012-12-11 | |
| 2012-12-04 | SCHUON ANDY Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −17,813 13,856 owned after | $4.88 exercise price | 2012-12-06 | |
| 2012-12-04 | SCHUON ANDY Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,495 1,407 owned after | $6.02 exercise price | 2012-12-06 | |
| 2012-12-04 | SCHUON ANDY Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,407 0 owned after | $6.02 exercise price | 2012-12-06 | |
| 2012-12-04 | SCHUON ANDY Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,085 15,587 owned after | $7.09 exercise price | 2012-12-06 | |
| 2012-12-04 | SCHUON ANDY Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,099 3,023 owned after | $7.54 exercise price | 2012-12-06 | |
| 2012-11-29 | COOK GERALD Officer (Chief Store Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 0 owned after | $4.75 exercise price | 2012-12-03 | |
| 2012-11-29 | COOK GERALD Officer (Chief Store Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 98,750 owned after | $6.37 exercise price | 2012-12-03 | |
| 2012-11-27 | COOK GERALD Officer (Chief Store Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −36,892 193,750 owned after | $5.77 exercise price | 2012-11-29 | |
| 2012-11-23 | COOK GERALD Officer (Chief Store Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 25,000 owned after | $4.75 exercise price | 2012-11-26 | |
| 2012-11-23 | COOK GERALD Officer (Chief Store Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −19,358 230,642 owned after | $5.77 exercise price | 2012-11-26 | |
| 2012-11-19 | COOK GERALD Officer (Chief Store Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −23,067 50,000 owned after | $4.75 exercise price | 2012-11-19 | |
| 2012-11-01 | COOK GERALD Officer (Chief Store Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,333 73,067 owned after | $4.75 exercise price | 2012-11-02 | |
| 2012-10-16 | COOK GERALD Officer (Chief Store Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −600 74,400 owned after | $4.75 exercise price | 2012-10-17 | |
| 2012-06-05 | Becker Steven R Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,350 16,350 owned after | $9.52 exercise price | 2012-06-08 | |
| 2012-06-05 | Drapkin Matthew A Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −16,350 16,350 owned after | $9.52 exercise price | 2012-06-08 | |
| 2012-06-05 | GRAHAM TERRI F Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,350 16,350 owned after | $9.52 exercise price | 2012-06-07 | |
| 2012-06-05 | D An Evelyn Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,350 16,350 owned after | $9.52 exercise price | 2012-06-07 | |
| 2012-06-05 | HEDRICK W SCOTT Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,350 16,350 owned after | $9.52 exercise price | 2012-06-07 | |
| 2012-06-05 | KYEES JOHN E Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,350 16,350 owned after | $9.52 exercise price | 2012-06-07 | |
| 2012-06-05 | SCHUON ANDY Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,350 16,350 owned after | $9.52 exercise price | 2012-06-07 | |
| 2012-06-05 | Vellios Thomas Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,350 16,350 owned after | $9.52 exercise price | 2012-06-07 | |
| 2012-04-03 | QUINNELL BRUCE A Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,473 23,752 owned after | $4.88 exercise price | 2012-04-04 | |
| 2012-04-03 | QUINNELL BRUCE A Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,415 3,787 owned after | $6.02 exercise price | 2012-04-04 | |
| 2012-04-03 | QUINNELL BRUCE A Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,875 1,912 owned after | $6.02 exercise price | 2012-04-04 | |
| 2012-04-03 | QUINNELL BRUCE A Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,778 6,718 owned after | $7.54 exercise price | 2012-04-04 | |
| 2012-03-27 | MCGINTY JIM Officer (Chief Financial Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −23,447 26,553 owned after | $4.75 exercise price | 2012-03-28 | |
| 2012-03-21 | KYEES JOHN E Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,554 3,554 owned after | $10.14 exercise price | 2012-03-22 | |
| 2012-03-16 | Mizicko Mark Officer (SVP, PLANNING & ALLOCATION) | 4 | Non-Qualified 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 | $9.69 exercise price | 2012-03-20 | |
| 2012-03-16 | WEHLITZ GEORGE Officer (VP, 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 20,000 owned after | $9.69 exercise price | 2012-03-20 | |
| 2012-03-16 | HENDRICKS DONALD L Officer (CHIEF INFORMATION OFFICER) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $9.69 exercise price | 2012-03-20 | |
| 2012-03-16 | MCGINTY JIM Officer (Chief Financial Officer) | 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 | $9.69 exercise price | 2012-03-20 | |
| 2012-03-16 | COOK GERALD 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) | +50,000 50,000 owned after | $9.69 exercise price | 2012-03-20 | |
| 2012-03-16 | HARPER LISA M Director, Officer (Chairman & CEO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $9.69 exercise price | 2012-03-20 | |
| 2012-03-09 | MCGINTY JIM Officer (Chief Financial Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 50,000 owned after | $4.75 exercise price | 2012-03-13 |