K SWISS INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 24 rows in 2009. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-12-07: Reporting owner GREEN LEE; Form 4; Security Options to buy Class A Common Stock; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2009-09-09: 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.
- 2009-09-08: 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.
- 2009-08-27: Reporting owner SULLIVAN BRIAN; 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 |
|---|---|---|---|---|---|---|---|---|
| 2009-12-07 | GREEN LEE Officer (Corporate Counsel) | 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 0 owned after | $0.53 exercise price | 2009-12-08 | |
| 2009-09-09 | 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 | −9,600 18,499 owned after | $4.39 exercise price | 2009-09-10 | |
| 2009-09-08 | 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 | −400 28,099 owned after | $4.39 exercise price | 2009-09-10 | |
| 2009-08-27 | 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 | −2,500 0 owned after | $0.53 exercise price | 2009-08-28 | |
| 2009-08-26 | 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 | −7,500 2,500 owned after | $0.53 exercise price | 2009-08-28 | |
| 2009-08-25 | 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 | −10,000 28,499 owned after | $4.39 exercise price | 2009-08-26 | |
| 2009-08-13 | 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 | −25,000 38,499 owned after | $4.39 exercise price | 2009-08-17 | |
| 2009-08-12 | 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 | −25,000 63,499 owned after | $4.39 exercise price | 2009-08-12 | |
| 2009-08-11 | 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 | −17,900 88,499 owned after | $4.39 exercise price | 2009-08-11 | |
| 2009-08-10 | 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 | −57,100 106,399 owned after | $4.39 exercise price | 2009-08-11 | |
| 2009-08-10 | 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 | $0.53 exercise price | 2009-08-11 | |
| 2009-08-07 | 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 | −25,000 163,499 owned after | $4.39 exercise price | 2009-08-11 | |
| 2009-08-07 | 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 0 owned after | $0.53 exercise price | 2009-08-11 | |
| 2009-03-09 | POWLICK GEORGE Director, Officer (Vice President Finance/CFO) | 4 | Options to Buy Class A Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $7.17 exercise price | 2009-03-11 | |
| 2009-03-09 | LOUIE MARK Director | 4 | Options to Buy Class A Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $6.52 exercise price | 2009-03-11 | |
| 2009-03-09 | SULLIVAN BRIAN Officer (VP National Accounts) | 4 | Options to Buy Class A Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $6.52 exercise price | 2009-03-11 | |
| 2009-03-09 | FLORA EDWARD FRED Officer (Vice President of Operations) | 4 | Options to buy Class A Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $6.52 exercise price | 2009-03-11 | |
| 2009-03-09 | GREEN LEE Officer (Corporate Counsel) | 4 | Options to buy Class A Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $6.52 exercise price | 2009-03-11 | |
| 2009-03-09 | SCULLY KIMBERLY Officer (Corporate Controller) | 4 | Options to Buy Class A Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $6.52 exercise price | 2009-03-11 | |
| 2009-03-09 | Nichols David J Officer (Executive Vice President) | 4 | Options to buy Class A Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $7.17 exercise price | 2009-03-11 | |
| 2009-03-09 | NICHOLS STEVEN B Director, Officer (President & CEO), 10% Owner | 4 | Options to Buy Class A Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $7.17 exercise price | 2009-03-11 | |
| 2009-03-09 | FINE STEPHEN A Director | 4 | Options to Buy Class A Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $6.52 exercise price | 2009-03-11 | |
| 2009-03-09 | FELDMAN LAWRENCE Director | 4 | Options to Buy Class A Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $6.52 exercise price | 2009-03-11 | |
| 2009-03-09 | LEWIN DAVID Director | 4 | Options to Buy Class A Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $6.52 exercise price | 2009-03-11 |