KAISER VENTURES LLC Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 85 rows, 85 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-02-05: Reporting owner VERHEY JAMES F; Form 4; Security Class A Units; Transaction G Bona fide gift.
- 2013-01-15: Reporting owner Kluesener John W.; Form 4; Security Class A Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-01-15: Reporting owner FAWCETT GERALD A; Form 4; Security Class A Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-01-15: Reporting owner BITONTI RONALD E; Form 4; Security Class A Units; 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 |
|---|---|---|---|---|---|---|---|---|
| 2013-02-05 | VERHEY JAMES F Officer (Exec VP/CFO) | 4 | Class A Units Non-derivative · Direct | G Bona fide gift | −45,090 195,437 owned after | $0.00 | 2013-02-22 | |
| 2013-01-15 | Kluesener John W. Other (Member of Board of Managers) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 22,500 owned after | $0.00 | 2013-01-22 | |
| 2013-01-15 | FAWCETT GERALD A Other (Vice Chairman) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 179,059 owned after | $0.00 | 2013-01-22 | |
| 2013-01-15 | BITONTI RONALD E Other (Member of Board of Managers) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 67,396 owned after | $0.00 | 2013-01-22 | |
| 2013-01-15 | Anderson Sarah J Other (Member of Board of Managers) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 22,500 owned after | $0.00 | 2013-01-22 | |
| 2012-12-31 | COOK TERRY L Officer (Exec VP/Gen Counsel) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 311,811 owned after | $0.00 | 2013-01-02 | |
| 2012-12-31 | VERHEY JAMES F Officer (Exec VP/CFO) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 286,982 owned after | $0.00 | 2013-01-02 | |
| 2012-12-31 | STODDARD RICHARD E Officer (Chairman of the Board/Pres) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 429,668 owned after | $0.00 | 2013-01-02 | |
| 2012-02-29 | VERHEY JAMES F Officer (Exec VP/CFO) | 5 | Class A Units Non-derivative · Direct | G Bona fide gift | −46,455 240,527 owned after | $0.00 | 2013-02-06 | |
| 2012-02-28 | VERHEY JAMES F Officer (Exec VP/CFO) | 4 | Class A Units Non-derivative · Direct | G Bona fide gift | −46,455 215,527 owned after | $0.00 | 2012-03-20 | |
| 2012-02-15 | VERHEY JAMES F Officer (Exec VP/CFO) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,898 261,982 owned after | $0.35 | 2012-02-17 | |
| 2012-02-15 | STODDARD RICHARD E Officer (Chairman of the Board/Pres) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,898 404,668 owned after | $0.35 | 2012-02-17 | |
| 2012-02-15 | Kluesener John W. Other (Member of Board of Managers) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 17,500 owned after | $0.00 | 2012-02-17 | |
| 2012-02-15 | FAWCETT GERALD A Other (Vice Chairman) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 174,059 owned after | $0.00 | 2012-02-17 | |
| 2012-02-15 | COOK TERRY L Officer (Exec VP/Gen Counsel) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,898 286,811 owned after | $0.35 | 2012-02-17 | |
| 2012-02-15 | BITONTI RONALD E Other (Member of Board of Managers) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 62,396 owned after | $0.00 | 2012-02-17 | |
| 2012-02-15 | Anderson Sarah J Other (Member of Board of Managers) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 17,500 owned after | $0.00 | 2012-02-17 | |
| 2011-10-10 | Kluesener John W. Other (Member of Board of Managers) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500 12,500 owned after | $0.00 | 2011-10-13 | |
| 2011-10-10 | FAWCETT GERALD A Other (Vice Chairman) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500 169,059 owned after | $0.00 | 2011-10-13 | |
| 2011-10-10 | BITONTI RONALD E Other (Member of Board of Managers) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500 57,396 owned after | $0.00 | 2011-10-13 | |
| 2011-10-10 | Anderson Sarah J Other (Member of Board of Managers) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500 12,500 owned after | $0.00 | 2011-10-13 | |
| 2011-10-10 | COOK TERRY L Officer (Exec VP/Gen Counsel) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 277,913 owned after | $0.00 | 2011-10-11 | |
| 2011-10-10 | VERHEY JAMES F Officer (Exec VP/CFO) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 253,084 owned after | $0.00 | 2011-10-11 | |
| 2011-10-10 | STODDARD RICHARD E Officer (Chairman of the Board/Pres) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 395,770 owned after | $0.00 | 2011-10-11 | |
| 2011-07-07 | Kluesener John W. Other (Member of Board of Managers) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 10,000 owned after | $0.00 | 2011-07-07 | |
| 2011-07-07 | FAWCETT GERALD A Other (Vice Chairman) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 166,559 owned after | $0.00 | 2011-07-07 | |
| 2011-07-07 | BITONTI RONALD E Other (Member of Board of Managers) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 54,896 owned after | $0.00 | 2011-07-07 | |
| 2011-07-07 | Anderson Sarah J Other (Member of Board of Managers) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 10,000 owned after | $0.00 | 2011-07-07 | |
| 2011-05-12 holding as of filing | Kluesener John W. Other (Member of Board of Managers) | 3 | Class A Units Non-derivative · Direct | Holding | 5,000 owned after | no price filed | 2011-05-12 | |
| 2011-05-11 | COOK TERRY L Officer (Exec VP/Gen Counsel) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,455 252,913 owned after | $0.35 | 2011-05-12 | |
| 2011-05-11 | VERHEY JAMES F Officer (Exec VP/CFO) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,455 228,084 owned after | $0.35 | 2011-05-12 | |
| 2011-05-11 | STODDARD RICHARD E Officer (Chairman of the Board/Pres) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,455 370,770 owned after | $0.35 | 2011-05-12 | |
| 2011-01-14 | VERHEY JAMES F Officer (Exec VP/CFO) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 206,629 owned after | $0.00 | 2011-01-14 | |
| 2011-01-14 | COOK TERRY L Officer (Exec VP/Gen Counsel) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 231,458 owned after | $0.00 | 2011-01-14 | |
| 2011-01-14 | STODDARD RICHARD E Officer (Chairman of the Board/Pres) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −25,000 349,315 owned after | $0.00 | 2011-01-14 | |
| 2010-11-08 holding as of filing | Anderson Sarah J Other (Member of Board of Managers) | 3 | Class A Units Non-derivative · Direct | Holding | 5,000 owned after | no price filed | 2010-11-08 | |
| 2010-06-30 | WALLACH MARSHALL F Other (Board of Manager) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 59,750 owned after | $0.00 | 2010-06-30 | |
| 2010-06-30 | FAWCETT GERALD A Other (Vice Chairman) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 161,559 owned after | $0.00 | 2010-06-30 | |
| 2010-06-30 | COLE TODD G Other (Member of Board of Managers) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 55,188 owned after | $0.00 | 2010-06-30 | |
| 2010-06-30 | BITONTI RONALD E Other (Member of Board of Managers) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 49,896 owned after | $0.00 | 2010-06-30 | |
| 2010-01-15 | STODDARD RICHARD E Officer (Chairman of the Board/Pres) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −25,000 324,315 owned after | $0.00 | 2010-01-19 | |
| 2010-01-15 | COOK TERRY L Officer (Exec VP/Gen Counsel) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 206,458 owned after | $0.00 | 2010-01-19 | |
| 2010-01-15 | VERHEY JAMES F Officer (Exec VP/CFO) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 181,629 owned after | $0.00 | 2010-01-19 | |
| 2009-06-25 | WALLACH MARSHALL F Other (Board of Manager) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 54,750 owned after | $0.00 | 2009-06-25 | |
| 2009-06-25 | FAWCETT GERALD A Other (Vice Chairman) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 156,559 owned after | $0.00 | 2009-06-25 | |
| 2009-06-25 | COLE TODD G Other (Member of Board of Managers) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 50,188 owned after | $0.00 | 2009-06-25 | |
| 2009-04-15 | STODDARD RICHARD E Officer (Chairman of the Board/Pres) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,929 299,315 owned after | $0.00 | 2009-04-16 | |
| 2009-04-15 | VERHEY JAMES F Officer (Exec VP/CFO) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,402 156,629 owned after | $0.00 | 2009-04-16 | |
| 2009-04-15 | COOK TERRY L Officer (Exec VP/Gen Counsel) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,300 181,458 owned after | $0.00 | 2009-04-16 | |
| 2009-04-15 | FAWCETT GERALD A Other (Vice Chairman of the Board) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,981 151,559 owned after | $0.00 | 2009-04-16 | |
| 2009-01-15 | VERHEY JAMES F Officer (Exec VP/CFO) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 128,227 owned after | $0.00 | 2009-01-15 | |
| 2009-01-15 | STODDARD RICHARD E Officer (Chairman of the Board/Pres) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 281,386 owned after | $0.00 | 2009-01-15 | |
| 2009-01-15 | COOK TERRY L Officer (Exec VP/Gen Counsel) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 154,158 owned after | $0.00 | 2009-01-15 | |
| 2008-12-31 | STODDARD RICHARD E Officer (Chairman of the Board/Pres) | 4/A | Class A Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +41,250 256,386 owned after | $125.00 | 2009-01-13 | |
| 2008-12-31 | STODDARD RICHARD E Officer (Chairman of the Board/Pres) | 4 | Class A Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +41,250 256,386 owned after | $1.25 | 2009-01-05 | |
| 2008-12-29 | STODDARD RICHARD E Officer (Chairman of the Board/Pres) | 4 | Class A Units Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +5,023 215,136 owned after | $0.90 | 2008-12-29 | |
| 2008-12-29 | COOK TERRY L Officer (Exec VP/Gen Counsel) | 4 | Class A Units Non-derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +5,023 129,158 owned after | $0.90 | 2008-12-29 | |
| 2008-12-29 | VERHEY JAMES F Officer (Exec VP/CFO) | 4 | Class A Units Non-derivative · Indirect · Revocable Trust | P Open market or private purchase of non-derivative or derivative security | +5,023 103,227 owned after | $0.90 | 2008-12-29 | |
| 2008-12-17 | BITONTI RONALD E Other (Member of Board of Managers) | 4 | Class A Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +1,500 39,896 owned after | $0.55 | 2008-12-17 | |
| 2008-12-16 | STODDARD RICHARD E Officer (Chairman of the Board/Pres) | 4 | Class A Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +33,750 210,113 owned after | $1.25 | 2008-12-17 | |
| 2008-12-11 | FAWCETT GERALD A Other (Vice Chairman) | 4 | Class A Units Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +20,000 140,578 owned after | $1.25 | 2008-12-12 | |
| 2008-12-01 | WALLACH MARSHALL F Other (Member of Board of Managers) | 4 | Class A Units* Non-derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +1,500 49,750 owned after | $0.55 | 2008-12-03 | |
| 2008-06-27 | WALLACH MARSHALL F Other (Board of Manager) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 48,250 owned after | $0.00 | 2008-06-30 | |
| 2008-06-27 | FAWCETT GERALD A Other (Vice Chairman) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 120,578 owned after | $0.00 | 2008-06-30 | |
| 2008-06-27 | COLE TODD G Other (Member of Board of Managers) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 45,188 owned after | $0.00 | 2008-06-30 | |
| 2008-06-27 | BITONTI RONALD E Other (Member of Board of Managers) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 38,396 owned after | $0.00 | 2008-06-30 | |
| 2008-03-12 | COOK TERRY L Officer (Exec VP/Gen Counsel) | 4/A | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,169 124,135 owned after | $0.00 | 2008-10-07 | |
| 2008-03-12 | STODDARD RICHARD E Officer (Chairman of the Board/Pres) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,169 176,363 owned after | $0.00 | 2008-03-13 | |
| 2008-03-12 | VERHEY JAMES F Officer (Exec VP/CFO) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,169 98,204 owned after | $0.00 | 2008-03-13 | |
| 2008-03-12 | COOK TERRY L Officer (Exec VP/Gen Counsel) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,169 99,135 owned after | $0.00 | 2008-03-13 | |
| 2008-03-10 | VERHEY JAMES F Officer (Exec VP/CFO) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 92,035 owned after | $0.00 | 2008-03-11 | |
| 2008-01-15 | STODDARD RICHARD E Officer (Chairman of the Board/Pres) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 170,194 owned after | $0.00 | 2008-01-15 | |
| 2008-01-15 | COOK TERRY L Officer (Exec VP/Gen Counsel) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 117,966 owned after | $0.00 | 2008-01-15 | |
| 2007-07-19 holding as of filing | VERHEY JAMES F Officer (Exec VP/CFO) | 4 | Class A Units Non-derivative · Indirect · By Trust | Holding | 67,035 owned after | no price filed | 2007-07-19 | |
| 2007-06-28 | WALLACH MARSHALL F Other (Board of Manager) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 43,250 owned after | $0.00 | 2007-06-29 | |
| 2007-06-28 | FAWCETT GERALD A Other (Vice Chairman) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 115,578 owned after | $0.00 | 2007-06-29 | |
| 2007-06-28 | COLE TODD G Other (Member of Board of Managers) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 40,188 owned after | $0.00 | 2007-06-29 | |
| 2007-06-28 | BITONTI RONALD E Other (Member of Board of Managers) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 33,396 owned after | $0.00 | 2007-06-29 | |
| 2007-01-15 | STODDARD RICHARD E Officer (Chairman of the Board/Pres) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 145,194 owned after | $0.00 | 2007-01-16 | |
| 2007-01-15 | VERHEY JAMES F Officer (Exec VP/CFO) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 67,035 owned after | $0.00 | 2007-01-16 | |
| 2007-01-15 | COOK TERRY L Officer (Exec VP/Gen Counsel) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 92,966 owned after | $0.00 | 2007-01-16 | |
| 2006-06-22 | FAWCETT GERALD A Other (Vice Chairman) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 110,578 owned after | $1.50 | 2006-06-22 | |
| 2006-06-22 | WALLACH MARSHALL F Other (Board of Manager) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 38,250 owned after | $1.50 | 2006-06-22 | |
| 2006-06-22 | COLE TODD G Other (Member of Board of Managers) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 35,188 owned after | $1.50 | 2006-06-22 | |
| 2006-06-22 | BITONTI RONALD E Other (Member of Board of Managers) | 4 | Class A Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 28,396 owned after | $1.50 | 2006-06-22 |