KASPIEN HOLDINGS INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 14 rows in 2009. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-06-17: Reporting owner RILEY BRYANT R | Riley Investment Management LLC; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-06-17: Reporting owner Riley Investment Management LLC | RILEY BRYANT R; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-06-17: Reporting owner Riley Investment Management LLC | RILEY BRYANT R; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-06-17: Reporting owner Riley Investment Management LLC | RILEY BRYANT R; Form 4; Security Stock Option; 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 |
|---|---|---|---|---|---|---|---|---|
| 2009-06-17 | RILEY BRYANT R | Riley Investment Management LLC Director | Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $0.98 exercise price | 2010-04-21 | |
| 2009-06-17 | Riley Investment Management LLC | RILEY BRYANT R Director | Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $0.98 exercise price | 2010-04-16 | |
| 2009-06-17 | Riley Investment Management LLC | RILEY BRYANT R Director | Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $0.98 exercise price | 2009-10-23 | |
| 2009-06-17 | Riley Investment Management LLC | RILEY BRYANT R Director | Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $0.98 exercise price | 2009-10-19 | |
| 2009-06-17 | RILEY BRYANT R | Riley Investment Management LLC Director | Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $0.98 exercise price | 2009-10-09 | |
| 2009-06-17 | Riley Investment Management LLC | RILEY BRYANT R Director | Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $0.98 exercise price | 2009-06-19 | |
| 2009-05-01 | MORONE JOSEPH G Director | 4 | Director Stock Options (Right to Buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | −1,500 7,500 owned after | $12.96 | 2009-05-05 | |
| 2009-02-23 holding as of filing | EISENBERG BRUCE J Officer (EVP Real Estate) | 5 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 495,000 owned after | no price filed | 2009-02-23 | |
| 2009-02-23 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 | $7.10 exercise price | 2009-02-23 | |
| 2009-02-23 holding as of filing | HIGGINS ROBERT J Director, Officer (Chairman and CEO), 10% Owner | 5 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 3,775,000 owned after | no price filed | 2009-02-23 | |
| 2009-02-23 holding as of filing | SOLOW MICHAEL Director | 5 | Director Stock Options (Right to Buy) Derivative · Direct | Holding | 17,500 owned after | no price filed | 2009-02-23 | |
| 2009-02-23 holding as of filing | MORONE JOSEPH G Director | 5 | Director Stock Options (Right to Buy) Derivative · Direct | Holding | 9,000 owned after | no price filed | 2009-02-23 | |
| 2009-02-23 holding as of filing | KAUFMAN ISAAC Director | 5 | Director Stock Options (Right to Buy) Derivative · Direct | Holding | 9,000 owned after | no price filed | 2009-02-23 | |
| 2009-02-23 holding as of filing | SULLIVAN JOHN J Officer (EVP and CFO) | 5 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 495,000 owned after | no price filed | 2009-02-23 |