MINDSPEED TECHNOLOGIES, INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 53 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-08-17: Reporting owner Bajwa Najabat H.; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-08-15: Reporting owner Schmidt Kristen M; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-07-28: Reporting owner Busch Kurt F.; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-07-28: Reporting owner Busch Kurt F.; Form 4; Security Stock Option (Right to Buy); 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 |
|---|---|---|---|---|---|---|---|---|
| 2011-08-17 | Bajwa Najabat H. Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −500 0 owned after | $1.70 exercise price | 2011-08-18 | |
| 2011-08-15 | Schmidt Kristen M Officer (VP and Interim CFO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −66 0 owned after | $1.70 exercise price | 2011-08-16 | |
| 2011-07-28 | Busch Kurt F. Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 5,000 owned after | $3.96 exercise price | 2011-07-29 | |
| 2011-07-28 | Busch Kurt F. Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,332 11,668 owned after | $2.12 exercise price | 2011-07-29 | |
| 2011-07-28 | Busch Kurt F. Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,184 593 owned after | $1.70 exercise price | 2011-07-29 | |
| 2011-05-17 holding as of filing | Steege Brandi R Officer (VP and General Counsel) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $4.37 exercise price | 2011-05-17 | ||
| 2011-05-17 holding as of filing | Steege Brandi R Officer (VP and General Counsel) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $2.12 exercise price | 2011-05-17 | ||
| 2011-05-17 holding as of filing | Steege Brandi R Officer (VP and General Counsel) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $1.70 exercise price | 2011-05-17 | ||
| 2011-05-17 holding as of filing | Steege Brandi R Officer (VP and General Counsel) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $1.70 exercise price | 2011-05-17 | ||
| 2011-05-17 holding as of filing | Steege Brandi R Officer (VP and General Counsel) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $1.70 exercise price | 2011-05-17 | ||
| 2011-05-17 holding as of filing | Steege Brandi R Officer (VP and General Counsel) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $6.68 exercise price | 2011-05-17 | ||
| 2011-05-16 holding as of filing | Schmidt Kristen M Officer (VP and Interim CFO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $4.37 exercise price | 2011-05-16 | ||
| 2011-05-16 holding as of filing | Schmidt Kristen M Officer (VP and Interim CFO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $2.12 exercise price | 2011-05-16 | ||
| 2011-05-16 holding as of filing | Schmidt Kristen M Officer (VP and Interim CFO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $1.70 exercise price | 2011-05-16 | ||
| 2011-05-16 holding as of filing | Schmidt Kristen M Officer (VP and Interim CFO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $1.70 exercise price | 2011-05-16 | ||
| 2011-05-16 holding as of filing | Schmidt Kristen M Officer (VP and Interim CFO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $1.70 exercise price | 2011-05-16 | ||
| 2011-05-16 holding as of filing | Schmidt Kristen M Officer (VP and Interim CFO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $1.70 exercise price | 2011-05-16 | ||
| 2011-05-16 holding as of filing | Schmidt Kristen M Officer (VP and Interim CFO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $1.70 exercise price | 2011-05-16 | ||
| 2011-05-16 holding as of filing | Schmidt Kristen M Officer (VP and Interim CFO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $6.68 exercise price | 2011-05-16 | ||
| 2011-05-12 | Cao Jing Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −416 4,584 owned after | $3.05 exercise price | 2011-05-16 | |
| 2011-05-04 | Bajwa Najabat H. Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 5,000 owned after | $3.96 exercise price | 2011-05-06 | |
| 2011-05-04 | Bajwa Najabat H. Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,333 8,335 owned after | $2.12 exercise price | 2011-05-06 | |
| 2011-05-04 | Bajwa Najabat H. Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 14,584 owned after | $4.36 exercise price | 2011-05-06 | |
| 2011-05-02 | Cao Jing Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 10,001 owned after | $2.12 exercise price | 2011-05-03 | |
| 2011-04-28 | HALIM RAOUF Y Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +90,000 90,000 owned after | $8.73 exercise price | 2011-05-02 | |
| 2011-04-28 | MEDREK THOMAS J Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $8.73 exercise price | 2011-05-02 | |
| 2011-04-28 | Garcia Allison K Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,000 12,000 owned after | $8.73 exercise price | 2011-05-02 | |
| 2011-04-28 | Hamilton Gerald J Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $8.73 exercise price | 2011-05-02 | |
| 2011-04-28 | Cao Jing Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $8.73 exercise price | 2011-05-02 | |
| 2011-04-28 | Busch Kurt F. Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $8.73 exercise price | 2011-05-02 | |
| 2011-04-28 | Bajwa Najabat H. Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,000 21,000 owned after | $8.73 exercise price | 2011-05-02 | |
| 2011-04-28 | Johnsen Bret W Officer (Senior Vice President and CFO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,500 20,835 owned after | $2.12 exercise price | 2011-05-02 | |
| 2011-04-28 | Johnsen Bret W Officer (Senior Vice President and CFO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,666 23,334 owned after | $4.36 exercise price | 2011-05-02 | |
| 2011-04-28 | Johnsen Bret W Officer (Senior Vice President and CFO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 62,500 owned after | $3.87 exercise price | 2011-05-02 | |
| 2011-04-07 | Cao Jing Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −417 5,000 owned after | $3.05 exercise price | 2011-04-08 | |
| 2011-04-05 | Hayashi Michael T Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $8.31 exercise price | 2011-04-07 | |
| 2011-04-05 | MADDEN THOMAS A Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $8.31 exercise price | 2011-04-07 | |
| 2011-04-05 | STEAD JERRE L Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $8.31 exercise price | 2011-04-07 | |
| 2011-04-05 | LOUIE MING Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $8.31 exercise price | 2011-04-07 | |
| 2011-04-05 | CONRAD ROBERT J Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $8.31 exercise price | 2011-04-07 | |
| 2011-04-05 | DECKER DWIGHT W Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $8.31 exercise price | 2011-04-07 | |
| 2011-03-07 | Cao Jing Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −417 5,417 owned after | $3.05 exercise price | 2011-03-08 | |
| 2011-03-03 | Cao Jing Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,083 14,584 owned after | $4.36 exercise price | 2011-03-04 | |
| 2011-02-14 | Mankar Anil Shamrao Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 14,834 owned after | $3.65 exercise price | 2011-02-15 | |
| 2011-02-14 | Mankar Anil Shamrao Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,834 29,166 owned after | $2.12 exercise price | 2011-02-15 | |
| 2011-02-14 | Mankar Anil Shamrao Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,666 13,334 owned after | $4.36 exercise price | 2011-02-15 | |
| 2011-02-10 | Cao Jing Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −833 7,084 owned after | $3.05 exercise price | 2011-02-11 | |
| 2011-02-10 | Cao Jing Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −417 6,667 owned after | $3.05 exercise price | 2011-02-11 | |
| 2011-02-10 | Cao Jing Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −417 6,250 owned after | $3.05 exercise price | 2011-02-11 | |
| 2011-02-10 | Cao Jing Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −416 5,834 owned after | $3.05 exercise price | 2011-02-11 | |
| 2011-02-10 | Cao Jing Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 15,001 owned after | $2.12 exercise price | 2011-02-11 | |
| 2011-02-10 | Cao Jing Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 12,501 owned after | $2.12 exercise price | 2011-02-11 | |
| 2011-02-10 | Cao Jing Officer (Senior Vice President) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 16,667 owned after | $4.36 exercise price | 2011-02-11 |