KASPIEN HOLDINGS INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 16 rows in 2010. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2010-10-19: Reporting owner HIGGINS ROBERT J; Form 4; Security Employee Stock Options (Right to Buy); Transaction Holding.
- 2010-10-14: Reporting owner HIGGINS ROBERT J; Form 4; Security Employee Stock Options (Right to Buy); Transaction Holding.
- 2010-10-08: Reporting owner HIGGINS ROBERT J; Form 4; Security Employee Stock Options (Right to Buy); Transaction Holding.
- 2010-06-14: Reporting owner RILEY BRYANT R | Riley Investment Management LLC; Form 4; Security Stock Options; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2010-10-19 holding as of filing | HIGGINS ROBERT J Director, Officer (Chairman and CEO), 10% Owner | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 3,075,000 owned after | no price filed | 2010-10-19 | |
| 2010-10-14 holding as of filing | HIGGINS ROBERT J Director, Officer (Chairman and CEO), 10% Owner | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 3,075,000 owned after | no price filed | 2010-10-14 | |
| 2010-10-08 holding as of filing | HIGGINS ROBERT J Director, Officer (Chairman and CEO), 10% Owner | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 3,075,000 owned after | no price filed | 2010-10-08 | |
| 2010-06-14 holding as of filing | RILEY BRYANT R | Riley Investment Management LLC Director | Director | 4 | Stock Options Derivative · Direct | Holding | 15,000 owned after | $0.98 exercise price | 2010-06-14 | |
| 2010-06-09 holding as of filing | RILEY BRYANT R | Riley Investment Management LLC Director | Director | 4 | Stock Options Derivative · Direct | Holding | 15,000 owned after | $0.98 exercise price | 2010-06-09 | |
| 2010-06-01 holding as of filing | RILEY BRYANT R | Riley Investment Management LLC Director | Director | 4 | Stock Options Derivative · Direct | Holding | 15,000 owned after | $0.98 exercise price | 2010-06-01 | |
| 2010-05-26 holding as of filing | RILEY BRYANT R | Riley Investment Management LLC Director | Director | 4 | Stock Options Derivative · Direct | Holding | 15,000 owned after | $0.98 exercise price | 2010-05-26 | |
| 2010-05-11 holding as of filing | Honeyman Michael Officer (COO and President) | 3 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | $2.11 exercise price | 2010-05-11 | ||
| 2010-05-06 | EISENBERG BRUCE J Officer (EVP Real Estate) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 720,000 owned after | $2.11 | 2010-05-10 | |
| 2010-02-22 holding as of filing | KAUFMAN ISAAC Director | 5 | Director Stock Options (Right to Buy) Derivative · Direct | Holding | 7,500 owned after | no price filed | 2010-02-22 | |
| 2010-02-22 holding as of filing | MORONE JOSEPH G Director | 5 | Director Stock Options (Right to Buy) Derivative · Direct | Holding | 7,500 owned after | no price filed | 2010-02-22 | |
| 2010-02-22 holding as of filing | SOLOW MICHAEL Director | 5 | Director Stock Options (Right to Buy) Derivative · Direct | Holding | 7,500 owned after | no price filed | 2010-02-22 | |
| 2010-02-22 holding as of filing | EISENBERG BRUCE J Officer (EVP Real Estate) | 5 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 420,000 owned after | no price filed | 2010-02-22 | |
| 2010-02-22 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 | 2010-02-22 | |
| 2010-02-22 holding as of filing | HIGGINS ROBERT J Director, Officer (Chairman and CEO), 10% Owner | 5 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 3,575,000 owned after | no price filed | 2010-02-22 | |
| 2010-02-22 holding as of filing | SULLIVAN JOHN J Officer (EVP and CFO) | 5 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 420,000 owned after | no price filed | 2010-02-22 |