KASPIEN HOLDINGS INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 20 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-12-29: Reporting owner Higgins Mark; Form 4; Security Employee Stock Options (Right to Buy); Transaction Holding.
- 2014-12-22: Reporting owner Higgins Mark; Form 4; Security Employee Stock Options (Right to Buy); Transaction Holding.
- 2014-11-21: Reporting owner Higgins Mark; Form 4; Security Employee Stock Options (Right to Buy); Transaction Holding.
- 2014-10-13: Reporting owner Feurer Michael; Form 4; Security Employee Stock Options (Right to Buy); 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 |
|---|---|---|---|---|---|---|---|---|
| 2014-12-29 holding as of filing | Higgins Mark Officer (Former SVP Merchandising) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 21,000 owned after | no price filed | 2014-12-29 | |
| 2014-12-22 holding as of filing | Higgins Mark Officer (Former SVP Merchandising) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 21,000 owned after | no price filed | 2014-12-22 | |
| 2014-11-21 holding as of filing | Higgins Mark Officer (SVP Merchandising) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 74,000 owned after | no price filed | 2014-11-21 | |
| 2014-10-13 | Feurer Michael Officer (Chief Executive Officer) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 300,000 owned after | $3.50 exercise price | 2014-10-14 | |
| 2014-06-04 holding as of filing | Higgins Mark Officer (SVP Merchandising) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $14.32 exercise price | 2014-06-04 | ||
| 2014-06-04 holding as of filing | Higgins Mark Officer (SVP Merchandising) | 3 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | $5.32 exercise price | 2014-06-04 | ||
| 2014-06-04 holding as of filing | Higgins Mark Officer (SVP Merchandising) | 3 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | $5.50 exercise price | 2014-06-04 | ||
| 2014-06-04 holding as of filing | Higgins Mark Officer (SVP Merchandising) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $1.73 exercise price | 2014-06-04 | ||
| 2014-06-04 holding as of filing | Higgins Mark Officer (SVP Merchandising) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $2.53 exercise price | 2014-06-04 | ||
| 2014-06-04 holding as of filing | Higgins Mark Officer (SVP Merchandising) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $4.87 exercise price | 2014-06-04 | ||
| 2014-06-04 holding as of filing | Higgins Mark Officer (SVP Merchandising) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $3.36 exercise price | 2014-06-04 | ||
| 2014-06-03 | Higgins Mark Officer (SVP Merchandising) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 90,250 owned after | $3.36 | 2014-06-04 | |
| 2014-06-03 | 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) | +35,000 435,000 owned after | $3.36 | 2014-06-04 | |
| 2014-06-03 | 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) | +35,000 107,300 owned after | $3.36 | 2014-06-04 | |
| 2014-02-25 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 | 2014-02-25 | |
| 2014-02-25 holding as of filing | HIGGINS ROBERT J Director, Officer (Chairman and CEO), 10% Owner | 5 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 1,025,000 owned after | no price filed | 2014-02-25 | |
| 2014-02-25 holding as of filing | EISENBERG BRUCE J Officer (EVP Real Estate) | 5 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 360,000 owned after | no price filed | 2014-02-25 | |
| 2014-02-25 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 | 2014-02-25 | |
| 2014-02-25 holding as of filing | Anderson John Officer (Chief Financial Officer) | 5 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 76,050 owned after | no price filed | 2014-02-25 | |
| 2014-02-25 holding as of filing | HANAKA MARTIN E Director | 5 | Director Stock Options (Right to Buy) Derivative · Direct | Holding | 15,000 owned after | no price filed | 2014-02-25 |