KASPIEN HOLDINGS INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 25 rows in 2006. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2006-05-01: Reporting owner SOLOW MICHAEL; Form 4; Security Director Stock Options; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2006-05-01: Reporting owner SOLOW MICHAEL; Form 4; Security Director Stock Options; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2006-05-01: Reporting owner HANAKA MARTIN E; Form 4; Security Director Stock Options; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2006-05-01: Reporting owner MORONE JOSEPH G; Form 4; Security Director Stock Options; 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 |
|---|---|---|---|---|---|---|---|---|
| 2006-05-01 | SOLOW MICHAEL Director | 4 | Director Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 45,251 owned after | no price filed | 2006-05-03 | |
| 2006-05-01 | SOLOW MICHAEL Director | 4 | Director Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 60,251 owned after | no price filed | 2006-05-03 | |
| 2006-05-01 | HANAKA MARTIN E Director | 4 | Director Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 85,471 owned after | no price filed | 2006-05-03 | |
| 2006-05-01 | MORONE JOSEPH G Director | 4 | Director Stock Options Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 31,640 owned after | no price filed | 2006-05-02 | |
| 2006-05-01 | MORONE JOSEPH G Director | 4 | Director Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 46,640 owned after | no price filed | 2006-05-02 | |
| 2006-05-01 | KAUFMAN ISAAC Director | 4 | Director Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 59,096 owned after | no price filed | 2006-05-02 | |
| 2006-05-01 | COHEN MARK A Director | 4 | Director Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 43,346 owned after | no price filed | 2006-05-02 | |
| 2006-05-01 | THOMAS EDMOND Director | 4 | Director Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 43,346 owned after | no price filed | 2006-05-02 | |
| 2006-05-01 | Schafer Lori J Director | 4 | Director Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 30,000 owned after | no price filed | 2006-05-02 | |
| 2006-04-10 | FOX FRED L Officer (EVP Merchandising - Marketing) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,971 310,000 owned after | $3.50 | 2006-04-10 | |
| 2006-04-06 | FOX FRED L Officer (EVP Merchandising - Marketing) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −30,808 329,692 owned after | $3.50 | 2006-04-10 | |
| 2006-03-28 | KAUFMAN ISAAC Director | 4 | Director Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,500 44,096 owned after | $1.35 | 2006-03-29 | |
| 2006-03-07 holding as of filing | FOX FRED L Officer (EVP Merchandising & Marketing) | 5 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 360,000 owned after | no price filed | 2006-03-07 | |
| 2006-03-07 holding as of filing | HANAKA MARTIN E Director | 5 | Director Stock Options (Right to Buy) Derivative · Direct | Holding | 70,471 owned after | no price filed | 2006-03-07 | |
| 2006-02-24 holding as of filing | HIGGINS ROBERT J Director, Officer (Chairman and CEO), 10% Owner | 5 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 4,675,000 owned after | no price filed | 2006-02-24 | |
| 2006-02-24 holding as of filing | KAUFMAN ISAAC Director | 5 | Director Stock Options (Right to Buy) Derivative · Direct | Holding | 48,596 owned after | no price filed | 2006-02-24 | |
| 2006-02-24 holding as of filing | SOLOW MICHAEL Director | 5 | Director Stock Options (Right to Buy) Derivative · Direct | Holding | 60,251 owned after | no price filed | 2006-02-24 | |
| 2006-02-24 holding as of filing | SULLIVAN JOHN J Officer (EVP and CFO) | 5 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 517,500 owned after | no price filed | 2006-02-24 | |
| 2006-02-24 holding as of filing | EISENBERG BRUCE J Officer (EVP Real Estate) | 5 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 577,500 owned after | no price filed | 2006-02-24 | |
| 2006-02-24 holding as of filing | Litwak James A Officer (President and COO) | 5 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 300,000 owned after | no price filed | 2006-02-24 | |
| 2006-02-24 holding as of filing | COHEN MARK A Director | 5 | Director Stock Options (Right to Buy) Derivative · Direct | Holding | 28,346 owned after | no price filed | 2006-02-24 | |
| 2006-02-24 holding as of filing | THOMAS EDMOND Director | 5 | Director Stock Options (Right to Buy) Derivative · Direct | Holding | 28,346 owned after | no price filed | 2006-02-24 | |
| 2006-02-24 holding as of filing | MORONE JOSEPH G Director | 5 | Director Stock Options (Right to Buy) Derivative · Direct | Holding | 46,640 owned after | no price filed | 2006-02-24 | |
| 2006-02-24 holding as of filing | Schafer Lori J Director | 5 | Director Stock Options (Right to Buy) Derivative · Direct | Holding | 15,000 owned after | no price filed | 2006-02-24 | |
| 2006-01-04 | KAUFMAN ISAAC Director | 4 | Director Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −30,000 48,596 owned after | $3.68 | 2006-01-05 |