KASPIEN HOLDINGS INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 13 rows in 2015. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-09-10: Reporting owner Hoffman Scott E; Form 3; Security Employee Stock Options (Right to Buy); Transaction Holding.
- 2015-05-15: Reporting owner EISENBERG BRUCE J; Form 4; Security Employee Stock Options (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2015-05-05: Reporting owner HANAKA MARTIN E; Form 4; Security Director Stock Option (Right to Buy); Transaction Holding.
- 2015-04-01: Reporting owner Anderson John; 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 |
|---|---|---|---|---|---|---|---|---|
| 2015-09-10 holding as of filing | Hoffman Scott E Officer (Chief Marketing Officer) | 3 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | $3.53 exercise price | 2015-09-10 | ||
| 2015-05-15 | 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) | +35,000 320,000 owned after | $3.88 | 2015-05-19 | |
| 2015-05-05 holding as of filing | HANAKA MARTIN E Director | 4 | Director Stock Option (Right to Buy) Derivative · Direct | Holding | 15,000 owned after | $4.77 exercise price | 2015-05-05 | |
| 2015-04-01 | 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) | +100,000 199,500 owned after | $3.72 | 2015-04-02 | |
| 2015-02-26 holding as of filing | Anderson John Officer (Chief Financial Officer) | 5 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 99,500 owned after | no price filed | 2015-02-26 | |
| 2015-02-26 holding as of filing | MARKS ROBERT E Director | 5 | Director Stock Options (Right to Buy) Derivative · Direct | Holding | 15,000 owned after | $3.00 exercise price | 2015-02-26 | |
| 2015-02-26 holding as of filing | EISENBERG BRUCE J Officer (EVP Real Estate) | 5 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 335,000 owned after | no price filed | 2015-02-26 | |
| 2015-02-26 holding as of filing | NAHL MICHAEL C Director | 5 | Director Stock Options (Right to Buy) Derivative · Direct | Holding | 15,000 owned after | $1.79 exercise price | 2015-02-26 | |
| 2015-02-26 holding as of filing | HANAKA MARTIN E Director | 5 | Director Stock Options (Right to Buy) Derivative · Direct | Holding | 15,000 owned after | $4.77 exercise price | 2015-02-26 | |
| 2015-02-26 holding as of filing | HIGGINS ROBERT J Director, Officer (Chairman of the Board), 10% Owner | 5 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 475,000 owned after | $14.32 exercise price | 2015-02-26 | |
| 2015-02-26 holding as of filing | Feurer Michael Officer (Chief Executive Officer) | 5 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 300,000 owned after | $3.50 exercise price | 2015-02-26 | |
| 2015-01-28 holding as of filing | Higgins Mark Officer (Former SVP Merchandising) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | 9,000 owned after | $14.32 exercise price | 2015-01-28 | |
| 2015-01-27 | Higgins Mark Officer (Former SVP Merchandising) | 4 | Employee Stock Options (Right to Buy)1 Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,000 0 owned after | $1.73 | 2015-01-28 |