METALICO INC Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 69 rows, 69 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-09-11: Reporting owner Whalen Kevin; Form 4; Security Rights to Deferred Stock; Transaction S Open market or private sale of non-derivative or derivative security.
- 2015-09-11: Reporting owner MAXWELL BRET R; Form 4; Security Rights to Deferred Stock; Transaction S Open market or private sale of non-derivative or derivative security.
- 2015-09-11: Reporting owner GROSSMAN CARY M; Form 4; Security Rights to Deferred Stock; Transaction S Open market or private sale of non-derivative or derivative security.
- 2015-09-11: Reporting owner Graber Arnold S; Form 4; Security Rights to Deferred Stock; Transaction S Open market or private sale of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-09-11 | Whalen Kevin Officer (SVP & CFO) | 4 | Rights to Deferred Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −3,500 0 owned after | $0.60 | 2015-09-11 | |
| 2015-09-11 | MAXWELL BRET R Director | 4 | Rights to Deferred Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −2,000 0 owned after | $0.60 | 2015-09-11 | |
| 2015-09-11 | GROSSMAN CARY M Director | 4 | Rights to Deferred Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −15,385 0 owned after | $0.60 | 2015-09-11 | |
| 2015-09-11 | Graber Arnold S Officer (EVP, Gen. Counsel & Secretary) | 4 | Rights to Deferred Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −2,500 0 owned after | $0.60 | 2015-09-11 | |
| 2015-09-11 | Garrett Paul A Director | 4 | Rights to Deferred Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −2,000 0 owned after | $0.60 | 2015-09-11 | |
| 2015-09-11 | Finlayson Eric W Officer (SVP & Treasurer) | 4 | Rights to Deferred Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −2,500 0 owned after | $0.60 | 2015-09-11 | |
| 2015-09-11 | DUFFY SEAN P Director | 4 | Rights to Deferred Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −2,000 0 owned after | $0.60 | 2015-09-11 | |
| 2015-09-11 | Drury Michael J Director, Officer (Executive Vice President) | 4 | Rights to Deferred Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −7,500 0 owned after | $0.60 | 2015-09-11 | |
| 2015-09-11 | AGUERO CARLOS E Director, Officer (CEO & President) | 4 | Rights to Deferred Stock Derivative · Direct | S Open market or private sale of non-derivative or derivative security | −5,000 0 owned after | $0.60 | 2015-09-11 | |
| 2015-02-02 | GROSSMAN CARY M Director | 4 | Deferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,385 15,385 owned after | $0.00 | 2015-02-03 | |
| 2014-12-04 | Graber Arnold S Officer (EVP, Gen. Counsel & Secretary) | 4 | Deferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 32,500 owned after | $0.00 | 2014-12-04 | |
| 2014-12-04 | Whalen Kevin Officer (SVP & CFO) | 4 | Deferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,500 33,500 owned after | $0.00 | 2014-12-04 | |
| 2014-12-04 | Drury Michael J Director, Officer (Executive Vice President) | 4 | Deferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +7,500 57,500 owned after | $0.00 | 2014-12-04 | |
| 2014-12-02 | DUFFY SEAN P Director | 4 | Deferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,000 47,000 owned after | $0.00 | 2014-12-04 | |
| 2014-12-02 | Finlayson Eric W Officer (SVP & Treasurer) | 4 | Deferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 32,500 owned after | $0.00 | 2014-12-04 | |
| 2014-12-02 | MAXWELL BRET R Director | 4 | Deferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,000 57,000 owned after | $0.00 | 2014-12-04 | |
| 2014-12-02 | Garrett Paul A Director | 4 | Deferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,000 59,000 owned after | $0.00 | 2014-12-04 | |
| 2014-12-02 | AGUERO CARLOS E Director, Officer (CEO & President), 10% Owner | 4 | Deferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 55,000 owned after | $0.00 | 2014-12-04 | |
| 2014-03-03 | Whalen Kevin Officer (SVP & CFO) | 4 | Deferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,500 69,500 owned after | $0.00 | 2014-03-04 | |
| 2014-03-03 | Graber Arnold S Officer (EVP, Gen. Counsel & Secretary) | 4 | Deferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 70,000 owned after | $0.00 | 2014-03-04 | |
| 2014-03-03 | Finlayson Eric W Officer (SVP & Treasurer) | 4 | Deferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 93,000 owned after | $0.00 | 2014-03-04 | |
| 2014-03-03 | Drury Michael J Director, Officer (Executive Vice President) | 4 | Deferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 105,000 owned after | $0.00 | 2014-03-04 | |
| 2014-03-03 | AGUERO CARLOS E Director, Officer (CEO & President), 10% Owner | 4 | Deferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 110,000 owned after | $0.00 | 2014-03-04 | |
| 2013-12-02 | Garrett Paul A Director | 4/A | Deferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,000 61,500 owned after | $0.00 | 2014-02-07 | |
| 2013-12-02 | Whalen Kevin Officer (SVP & CFO) | 4 | Deferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,500 72,000 owned after | $0.00 | 2013-12-03 | |
| 2013-12-02 | MAXWELL BRET R Director | 4 | Deferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,000 59,000 owned after | $0.00 | 2013-12-03 | |
| 2013-12-02 | Graber Arnold S Officer (EVP, Gen. Counsel & Secretary) | 4 | Deferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 72,500 owned after | $0.00 | 2013-12-03 | |
| 2013-12-02 | Garrett Paul A Director | 4 | Deferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,000 61,500 owned after | $0.00 | 2013-12-03 | |
| 2013-12-02 | Finlayson Eric W Officer (SVP & Treasurer) | 4 | Deferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 95,500 owned after | $0.00 | 2013-12-03 | |
| 2013-12-02 | DUFFY SEAN P Director | 4 | Deferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,000 59,000 owned after | $0.00 | 2013-12-03 | |
| 2013-12-02 | Drury Michael J Director, Officer (Executive Vice President) | 4 | Deferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +7,500 110,000 owned after | $0.00 | 2013-12-03 | |
| 2013-12-02 | AGUERO CARLOS E Director, Officer (CEO & President), 10% Owner | 4 | Deferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 115,000 owned after | $0.00 | 2013-12-03 | |
| 2013-03-01 | Whalen Kevin Officer (SVP & CFO) | 4 | Deferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,500 97,500 owned after | $0.00 | 2013-03-05 | |
| 2013-03-01 | Graber Arnold S Officer (EVP, Gen. Counsel & Secretary) | 4 | Deferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 115,000 owned after | $0.00 | 2013-03-05 | |
| 2013-03-01 | Drury Michael J Director, Officer (Executive Vice President) | 4 | Deferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +5,000 197,500 owned after | $0.00 | 2013-03-05 | |
| 2013-03-01 | Finlayson Eric W Officer (SVP & CFO) | 4 | Deferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 98,000 owned after | $0.00 | 2013-03-04 | |
| 2013-03-01 | AGUERO CARLOS E Director, Officer (CEO & President), 10% Owner | 4 | Deferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 295,000 owned after | $0.00 | 2013-03-04 | |
| 2012-12-21 | DUFFY SEAN P Director | 4 | Deferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 61,000 owned after | $0.00 | 2013-01-02 | |
| 2012-12-21 | MAXWELL BRET R Director | 4 | Deferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 61,000 owned after | $0.00 | 2012-12-21 | |
| 2012-12-21 | Garrett Paul A Director | 4 | Deferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 85,500 owned after | $0.00 | 2012-12-21 | |
| 2012-12-07 | AGUERO CARLOS E Director, Officer (CEO & President), 10% Owner | 4 | Deferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 300,000 owned after | $0.00 | 2012-12-07 | |
| 2012-12-07 | Graber Arnold S Officer (EVP, Gen. Counsel & Secretary) | 4 | Defferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 117,500 owned after | $0.00 | 2012-12-07 | |
| 2012-12-07 | Finlayson Eric W Officer (SVP & CFO) | 4 | Deferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 97,500 owned after | $0.00 | 2012-12-07 | |
| 2012-12-07 | Drury Michael J Director, Officer (Executive Vice President) | 4 | Deferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +22,500 202,500 owned after | $0.00 | 2012-12-07 | |
| 2012-12-07 | Whalen Kevin Officer (SVP & CFO) | 4 | Deferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,500 97,500 owned after | $0.00 | 2012-12-07 | |
| 2012-08-21 | Mueller Kenneth P. Officer (Sr. Vice President & COO/Scrap) | 4 | Deferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 50,000 owned after | $0.00 | 2012-08-22 | |
| 2012-06-29 holding as of filing | Whalen Kevin Officer (SVP & CFO) | 3 | Deferred Stock Derivative · Direct | Holding | no price filed | 2012-06-29 | ||
| 2012-05-21 | Mueller Kenneth P. Officer (Sr. Vice President & COO/Scrap) | 4 | Deferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 54,000 owned after | $0.00 | 2012-05-22 | |
| 2012-03-02 | AGUERO CARLOS E Director, Officer (CEO & President), 10% Owner | 4 | Defferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 408,333 owned after | $0.00 | 2012-03-02 | |
| 2012-03-02 | Finlayson Eric W Officer (SVP & CFO) | 4 | Defferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 100,500 owned after | $0.00 | 2012-03-02 | |
| 2012-03-02 | Mueller Kenneth P. Officer (Sr. Vice President & COO/Scrap) | 4 | Defferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 58,000 owned after | $0.00 | 2012-03-02 | |
| 2012-03-02 | Drury Michael J Director, Officer (Executive Vice President) | 4 | Deferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +5,000 245,000 owned after | $0.00 | 2012-03-02 | |
| 2012-03-02 | Graber Arnold S Officer (EVP, Gen. Counsel & Secretary) | 4 | Defferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 135,000 owned after | $0.00 | 2012-03-02 | |
| 2012-02-27 | Mueller Kenneth P. Officer (Sr. Vice President & COO/Scrap) | 4 | Defferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 61,000 owned after | $0.00 | 2012-02-27 | |
| 2011-12-15 | Mueller Kenneth P. Officer (Sr. Vice President & COO/Scrap) | 4 | Defferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 65,000 owned after | $0.00 | 2011-12-15 | |
| 2011-08-22 | Mueller Kenneth P. Officer (Sr. Vice President & COO/Scrap) | 4 | Defferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 69,000 owned after | $0.00 | 2011-08-22 | |
| 2011-05-23 | Mueller Kenneth P. Officer (Sr. Vice President & COO/Scrap) | 4 | Defferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 73,000 owned after | $0.00 | 2011-05-25 | |
| 2011-04-19 | Mueller Kenneth P. Officer (Sr. Vice President & COO/Scrap) | 4 | Deferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +29,000 29,000 owned after | $0.00 | 2011-04-21 | |
| 2011-04-19 | AGUERO CARLOS E Director, Officer (CEO & President), 10% Owner | 4 | Deferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 413,333 owned after | $0.00 | 2011-04-21 | |
| 2011-04-19 | Graber Arnold S Officer (EVP, Gen. Counsel & Secretary) | 4 | Deferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 150,000 owned after | $0.00 | 2011-04-21 | |
| 2011-04-19 | Drury Michael J Director, Officer (Executive Vice President) | 4 | Deferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 250,000 owned after | $0.00 | 2011-04-21 | |
| 2011-04-19 | Finlayson Eric W Officer (SVP & CFO) | 4 | Deferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 123,000 owned after | $0.00 | 2011-04-21 | |
| 2011-02-21 | Mueller Kenneth P. Officer (Sr. Vice President & COO/Scrap) | 4 | Deferred Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +48,000 77,000 owned after | $0.00 | 2011-05-25 | |
| 2010-08-18 | AGUERO CARLOS E Director, Officer (CEO & President), 10% Owner | 4 | op Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −50,000 398,333 owned after | $3.51 exercise price | 2010-08-19 | |
| 2007-02-14 | Seacoast I Advisors LLC 10% Owner | 4/A | Convertable Prefered Stock Derivative · Direct | C Conversion of derivative security | −500,000 454,963 owned after | $0.00 | 2007-02-20 | |
| 2007-02-14 | Seacoast I Advisors LLC 10% Owner | 4 | Convertable Prefered Stock Derivative · Direct | C Conversion of derivative security | −500,000 454,963 owned after | $0.00 | 2007-02-16 | |
| 2006-11-09 | Seacoast I Advisors LLC 10% Owner | 4/A | Convertable Preffered Stock Derivative · Direct | C Conversion of derivative security | −250,000 954,963 owned after | $0.00 | 2006-11-14 | |
| 2006-11-09 | Seacoast I Advisors LLC 10% Owner | 4/A | Convertable Preffered Stock Derivative · Direct | C Conversion of derivative security | −250,000 954,963 owned after | $0.00 | 2006-11-13 | |
| 2006-11-09 | Seacoast I Advisors LLC 10% Owner | 4 | Convertable Preffered Stock Derivative · Direct | C Conversion of derivative security | −250,000 954,963 owned after | $0.00 | 2006-11-09 |