KASPIEN HOLDINGS INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 41 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-08-14: Reporting owner HANAKA MARTIN E; Form 4; Security Stock Options (Right to Buy); Transaction P Open market or private purchase of non-derivative or derivative security.
- 2013-07-24: Reporting owner HIGGINS ROBERT J; Form 4; Security Employee Stock Options (Right to Buy); Transaction Holding.
- 2013-07-15: Reporting owner HIGGINS ROBERT J; Form 4; Security Employee Stock Options (Right to Buy); Transaction Holding.
- 2013-06-25: Reporting owner Murray Steve; Form 3; Security Employee Stock Option (Right to Buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-08-14 | HANAKA MARTIN E Director | 4 | Stock Options (Right to Buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +15,000 15,000 owned after | $4.77 | 2013-08-16 | |
| 2013-07-24 holding as of filing | HIGGINS ROBERT J Director, Officer (Chairman and CEO), 10% Owner | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 1,025,000 owned after | no price filed | 2013-07-24 | |
| 2013-07-15 holding as of filing | HIGGINS ROBERT J Director, Officer (Chairman and CEO), 10% Owner | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 1,025,000 owned after | no price filed | 2013-07-15 | |
| 2013-06-25 holding as of filing | Murray Steve Officer (SVP-IT and Supply Chain) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $1.67 exercise price | 2013-06-25 | ||
| 2013-06-25 holding as of filing | Murray Steve Officer (SVP-IT and Supply Chain) | 3 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | $2.53 exercise price | 2013-06-25 | ||
| 2013-06-25 holding as of filing | Manske Mike Officer (SVP-Merchandising & Marketing) | 3 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | $3.05 exercise price | 2013-06-25 | ||
| 2013-06-21 | Manske Mike Officer (SVP-Merchandising & Marketing) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 125,000 owned after | $4.87 | 2013-06-25 | |
| 2013-06-21 | Murray Steve Officer (SVP-IT and Supply Chain) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 200,000 owned after | $4.87 | 2013-06-25 | |
| 2013-06-21 | EISENBERG BRUCE J Officer (EVP-Real Estate & Store Ops) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 460,000 owned after | $4.87 | 2013-06-25 | |
| 2013-06-21 | Anderson John Officer (Chief Financial Officer) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 76,050 owned after | $4.87 | 2013-06-25 | |
| 2013-04-22 | Anderson John Officer (Chief Financial Officer) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 56,050 owned after | $3.50 | 2013-04-23 | |
| 2013-04-11 | EISENBERG BRUCE J Officer (EVP Real Estate) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 410,000 owned after | $3.50 | 2013-04-12 | |
| 2013-04-10 | EISENBERG BRUCE J Officer (EVP Real Estate) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,500 413,000 owned after | $3.50 | 2013-04-10 | |
| 2013-04-09 | EISENBERG BRUCE J Officer (EVP Real Estate) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,000 421,500 owned after | $3.50 | 2013-04-10 | |
| 2013-04-08 | EISENBERG BRUCE J Officer (EVP Real Estate) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,000 434,500 owned after | $3.50 | 2013-04-10 | |
| 2013-04-05 | EISENBERG BRUCE J Officer (EVP Real Estate) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,500 442,500 owned after | $3.50 | 2013-04-05 | |
| 2013-04-04 | EISENBERG BRUCE J Officer (EVP Real Estate) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,000 447,000 owned after | $3.50 | 2013-04-05 | |
| 2013-04-03 | EISENBERG BRUCE J Officer (EVP Real Estate) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,500 461,000 owned after | $3.50 | 2013-04-05 | |
| 2013-04-02 | EISENBERG BRUCE J Officer (EVP Real Estate) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,500 470,500 owned after | $3.50 | 2013-04-03 | |
| 2013-04-02 | HIGGINS ROBERT J Director, Officer (Chairman and CEO), 10% Owner | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −400,000 1,475,000 owned after | $3.50 | 2013-04-03 | |
| 2013-04-01 | EISENBERG BRUCE J Officer (EVP Real Estate) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,500 480,000 owned after | $3.50 | 2013-04-03 | |
| 2013-04-01 | HIGGINS ROBERT J Director, Officer (Chairman and CEO), 10% Owner | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −600,000 1,875,000 owned after | $3.50 | 2013-04-03 | |
| 2013-03-28 | EISENBERG BRUCE J Officer (EVP Real Estate) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,500 483,500 owned after | $3.50 | 2013-03-29 | |
| 2013-03-27 | EISENBERG BRUCE J Officer (EVP Real Estate) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,500 491,000 owned after | $3.50 | 2013-03-29 | |
| 2013-03-26 | EISENBERG BRUCE J Officer (EVP Real Estate) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −17,500 502,500 owned after | $3.50 | 2013-03-26 | |
| 2013-03-25 | EISENBERG BRUCE J Officer (EVP Real Estate) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,500 520,000 owned after | $3.50 | 2013-03-26 | |
| 2013-03-22 | EISENBERG BRUCE J Officer (EVP Real Estate) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,500 527,500 owned after | $3.50 | 2013-03-26 | |
| 2013-03-21 | EISENBERG BRUCE J Officer (EVP Real Estate) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 540,000 owned after | $3.50 | 2013-03-22 | |
| 2013-03-20 | EISENBERG BRUCE J Officer (EVP Real Estate) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 550,000 owned after | $3.50 | 2013-03-22 | |
| 2013-03-15 | Honeyman Michael Officer (Former COO and President) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −21,472 0 owned after | $2.11 | 2013-03-18 | |
| 2013-03-14 | Honeyman Michael Officer (Former COO and President) | 4 | Employee Stock Option (Right to Buy)1 Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +61,355 21,472 owned after | $2.11 | 2013-03-14 | |
| 2013-03-13 | Honeyman Michael Officer (Former COO and President) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +5,499 82,827 owned after | $2.11 | 2013-03-14 | |
| 2013-03-12 | Honeyman Michael Officer (Former COO and President) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +200 88,326 owned after | $2.11 | 2013-03-14 | |
| 2013-03-12 holding as of filing | Honeyman Michael Officer (COO and President) | 5 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 150,000 owned after | $2.11 exercise price | 2013-03-12 | |
| 2013-03-11 | Honeyman Michael Officer (Former COO and President) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +54,500 88,526 owned after | $2.11 | 2013-03-12 | |
| 2013-03-08 | Honeyman Michael Officer (Former COO and President) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +6,974 143,026 owned after | $2.11 | 2013-03-12 | |
| 2013-02-12 holding as of filing | NAHL MICHAEL C Director | 5 | Director Stock Options (Right to Buy) Derivative · Direct | Holding | 15,000 owned after | no price filed | 2013-02-12 | |
| 2013-02-12 holding as of filing | HIGGINS ROBERT J Director, Officer (Chairman and CEO), 10% Owner | 5 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 2,025,000 owned after | no price filed | 2013-02-12 | |
| 2013-02-12 holding as of filing | EISENBERG BRUCE J Officer (EVP Real Estate) | 5 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 460,000 owned after | no price filed | 2013-02-12 | |
| 2013-02-12 holding as of filing | MARKS ROBERT E Director | 5 | Director Stock Options (Right to Buy) Derivative · Direct | Holding | 15,000 owned after | no price filed | 2013-02-12 | |
| 2013-02-12 holding as of filing | Anderson John Officer (Chief Financial Officer) | 5 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 59,050 owned after | no price filed | 2013-02-12 |