LEVEL 3 PARENT, LLC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 6 rows, 6 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-11-17: Reporting owner PANG Laurinda Y; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-06-09: Reporting owner PANG Laurinda Y; Form 3; Security Employee Stock Option (right to buy); Transaction Holding.
- 2007-04-17: Reporting owner Abdel Raouf; Form 3; Security Employee Stock Option (Right to Buy); Transaction Holding.
- 2007-02-23: Reporting owner CHOKSI SUREEL A; Form 3; Security Employee Stock Option (Right to Buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-11-17 | PANG Laurinda Y Officer (EVP and Chief Admin Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,266 0 owned after | $14.55 exercise price | 2014-11-17 | |
| 2014-06-09 holding as of filing | PANG Laurinda Y Officer (EVP and Chief Admin Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $14.55 exercise price | 2014-06-09 | ||
| 2007-04-17 holding as of filing | Abdel Raouf Officer (President Business Mkts Group) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $6.50 exercise price | 2007-04-17 | ||
| 2007-02-23 holding as of filing | CHOKSI SUREEL A Officer (President Wholesale Markets) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $6.50 exercise price | 2007-02-23 | ||
| 2006-10-31 | JAROS RICHARD R Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −500,000 0 owned after | $4.95 exercise price | 2006-10-31 | |
| 2006-10-27 | MORTENSEN ERIC Officer (SVP, Controller) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −150,000 0 owned after | $4.95 exercise price | 2006-10-30 |