METALICO INC Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 10 rows, 10 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-05-29: Reporting owner Drury Michael J; Form 4; Security Warrants; Transaction C Conversion of derivative security.
- 2007-11-15: Reporting owner AGUERO CARLOS E; Form 4; Security Warrants; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2007-11-07: Reporting owner MAXWELL BRET R; Form 4; Security Warrants; Transaction C Conversion of derivative security.
- 2007-10-25: Reporting owner Whalen Kevin; Form 4/A; Security Warrants; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2009-05-29 | Drury Michael J Director, Officer (Executive Vice President) | 4 | Warrants Derivative · Direct | C Conversion of derivative security | −90,000 201,667 owned after | $0.01 exercise price | 2009-05-29 | |
| 2007-11-15 | AGUERO CARLOS E Director, Officer (CEO & President), 10% Owner | 4 | Warrants Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $4.00 exercise price | 2007-11-15 | |
| 2007-11-07 | MAXWELL BRET R Director | 4 | Warrants Derivative · Indirect · See Footnote(1) | C Conversion of derivative security | +123,082 0 owned after | $4.00 exercise price | 2007-11-08 | |
| 2007-10-25 | Whalen Kevin Officer (VP & Corporate Controller) | 4/A | Warrants Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $4.00 exercise price | 2007-11-02 | |
| 2007-10-25 | Whalen Kevin Officer (VP & Corporate Controller) | 4 | Warrants Derivative · Direct | C Conversion of derivative security | −5,000 0 owned after | $4.00 exercise price | 2007-10-26 | |
| 2007-10-12 | AGUERO CARLOS E Director, Officer (CEO & President), 10% Owner | 4 | Warrants Derivative · Direct | G Bona fide gift | −5,000 3,000 owned after | $4.00 exercise price | 2008-01-08 | |
| 2007-06-26 | ARGENTUM GROUP /NY/ 10% Owner | 4 | Warrants Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −18,462 24,616 owned after | $4.00 exercise price | 2007-06-26 | |
| 2007-06-26 | ARGENTUM GROUP /NY/ 10% Owner | 4 | Warrants Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −24,616 0 owned after | $4.00 exercise price | 2007-06-26 | |
| 2007-06-26 | BARANDIARAN WALTER Director | 4 | Warrants Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −18,462 24,616 owned after | $4.00 exercise price | 2007-06-26 | |
| 2007-06-26 | BARANDIARAN WALTER Director | 4 | Warrants Derivative · Indirect · See Footnote | X Exercise of in-the-money or at-the-money derivative security | −24,616 0 owned after | $4.00 exercise price | 2007-06-26 |