K SWISS INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 19 rows in 2006. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2006-11-24: Reporting owner Nichols David J; Form 4; Security Options to buy Class A Common Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2006-11-15: Reporting owner Nichols David J; Form 4; Security Options to buy Class A Common Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2006-11-15: Reporting owner POWLICK GEORGE; Form 4; Security Options to Buy Class A Common Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2006-11-13: Reporting owner Nichols David J; Form 4; Security Options to buy Class A Common Stock; 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 |
|---|---|---|---|---|---|---|---|---|
| 2006-11-24 | Nichols David J Officer (Executive Vice President) | 4 | Options to buy Class A Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 36,399 owned after | $3.19 exercise price | 2006-11-28 | |
| 2006-11-15 | Nichols David J Officer (Executive Vice President) | 4 | Options to buy Class A Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 46,399 owned after | $3.19 exercise price | 2006-11-17 | |
| 2006-11-15 | POWLICK GEORGE Director, Officer (Vice President Finance/CFO) | 4 | Options to Buy Class A Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,200 140,800 owned after | $8.03 exercise price | 2006-11-17 | |
| 2006-11-13 | Nichols David J Officer (Executive Vice President) | 4 | Options to buy Class A Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 51,399 owned after | $3.19 exercise price | 2006-11-14 | |
| 2006-10-31 | Nichols David J Officer (Executive Vice President) | 4 | Options to buy Class A Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 56,399 owned after | $3.19 exercise price | 2006-11-02 | |
| 2006-10-30 | POWLICK GEORGE Director, Officer (Vice President Finance/CFO) | 4 | Options to Buy Class A Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −30,000 150,000 owned after | $8.03 exercise price | 2006-11-01 | |
| 2006-10-27 | Nichols David J Officer (Executive Vice President) | 4 | Options to buy Class A Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,100 66,399 owned after | $3.19 exercise price | 2006-10-31 | |
| 2006-10-27 | FLORA EDWARD FRED Officer (Vice President of Operations) | 4 | Options to buy Class A Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 0 owned after | $2.53 exercise price | 2006-10-31 | |
| 2006-10-27 | FLORA EDWARD FRED Officer (Vice President of Operations) | 4 | Options to buy Class A Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 0 owned after | $2.53 exercise price | 2006-10-31 | |
| 2006-08-15 | Nichols David J Officer (Executive Vice President) | 4 | Options to buy Class A Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 71,499 owned after | $3.19 exercise price | 2006-08-16 | |
| 2006-08-14 | FLORA EDWARD FRED Officer (Vice President of Operations) | 4 | Options to buy Class A Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 7,000 owned after | $2.53 exercise price | 2006-08-15 | |
| 2006-08-08 holding as of filing | Bond David M Officer (Vice President-Product) | 3 | Options to buy Class A Common Stock Derivative · Direct | Holding | $29.14 exercise price | 2006-08-08 | ||
| 2006-05-25 | Nichols David J Officer (Executive Vice President) | 4 | Options to buy Class A Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,500 81,499 owned after | $3.19 exercise price | 2006-05-26 | |
| 2006-05-23 | FLORA EDWARD FRED Officer (Vice President of Operations) | 4 | Options to buy Class A Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 9,000 owned after | $2.53 exercise price | 2006-05-23 | |
| 2006-05-16 | WILFORD MARTYN S Director | 4 | Options to Buy Class A Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 4,000 owned after | $12.85 exercise price | 2006-05-17 | |
| 2006-04-28 | SULLIVAN BRIAN Officer (VP National Accounts) | 4 | Options to Buy Class A Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 0 owned after | $1.27 exercise price | 2006-05-02 | |
| 2006-03-10 | Nichols David J Officer (Executive Vice President) | 4 | Options to buy Class A Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,000 87,999 owned after | $3.19 exercise price | 2006-03-14 | |
| 2006-03-10 | MITCHELL DEBORAH J Officer (Vice President of Marketing) | 4 | Options to Buy Class A Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,600 7,466 owned after | $4.34 exercise price | 2006-03-14 | |
| 2006-02-21 | WORLEY PETER K Officer (VP of Sales) | 4 | Options to Buy Class A Common Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,333 0 owned after | $2.53 exercise price | 2006-02-22 |