MINDSPEED TECHNOLOGIES, INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 36 rows in 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-11-20: Reporting owner Watkins James M; Form 4; Security Stock Option (Right to Buy); Transaction Holding.
- 2012-11-16: Reporting owner Watkins James M; Form 3; Security Stock Option (Right to Buy); Transaction Holding.
- 2012-03-02: 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.
- 2012-02-28: Reporting owner HALIM RAOUF Y; 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 |
|---|---|---|---|---|---|---|---|---|
| 2012-11-20 holding as of filing | Watkins James M Officer (VP, Finance, & PAO) | 4 | Stock Option (Right to Buy) Derivative · Direct | Holding | 2,500 owned after | $6.28 exercise price | 2012-11-20 | |
| 2012-11-16 holding as of filing | Watkins James M Officer (VP, Finance, & PAO) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $6.28 exercise price | 2012-11-16 | ||
| 2012-03-02 | 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 2,500 owned after | $3.96 exercise price | 2012-03-05 | |
| 2012-02-28 | HALIM RAOUF Y Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 99,990 owned after | $2.12 exercise price | 2012-03-01 | |
| 2012-02-28 | HALIM RAOUF Y Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 94,990 owned after | $2.12 exercise price | 2012-03-01 | |
| 2012-02-28 | HALIM RAOUF Y Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 89,990 owned after | $2.12 exercise price | 2012-03-01 | |
| 2012-02-28 | HALIM RAOUF Y Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,300 86,690 owned after | $2.12 exercise price | 2012-03-01 | |
| 2012-02-28 | HALIM RAOUF Y Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,700 84,990 owned after | $2.12 exercise price | 2012-03-01 | |
| 2012-02-28 | HALIM RAOUF Y Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,600 82,390 owned after | $2.12 exercise price | 2012-03-01 | |
| 2012-02-28 | HALIM RAOUF Y Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,400 79,990 owned after | $2.12 exercise price | 2012-03-01 | |
| 2012-02-27 | HALIM RAOUF Y Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −858 139,142 owned after | $2.12 exercise price | 2012-02-28 | |
| 2012-02-27 | HALIM RAOUF Y Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 134,142 owned after | $2.12 exercise price | 2012-02-28 | |
| 2012-02-27 | HALIM RAOUF Y Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −9,152 124,990 owned after | $2.12 exercise price | 2012-02-28 | |
| 2012-02-27 | HALIM RAOUF Y Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 119,990 owned after | $2.12 exercise price | 2012-02-28 | |
| 2012-02-27 | HALIM RAOUF Y Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 114,990 owned after | $2.12 exercise price | 2012-02-28 | |
| 2012-02-27 | HALIM RAOUF Y Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 109,990 owned after | $2.12 exercise price | 2012-02-28 | |
| 2012-02-24 | HALIM RAOUF Y Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,500 174,500 owned after | $2.12 exercise price | 2012-02-28 | |
| 2012-02-24 | HALIM RAOUF Y Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −24,500 150,000 owned after | $2.12 exercise price | 2012-02-28 | |
| 2012-02-24 | HALIM RAOUF Y Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 140,000 owned after | $2.12 exercise price | 2012-02-28 | |
| 2012-02-23 | 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 | −6,251 2,084 owned after | $2.12 exercise price | 2012-02-24 | |
| 2012-02-23 | 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 | −107 107 owned after | $1.70 exercise price | 2012-02-24 | |
| 2012-02-23 | 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 | −171 172 owned after | $1.70 exercise price | 2012-02-24 | |
| 2012-02-23 | 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 | −433 434 owned after | $1.70 exercise price | 2012-02-24 | |
| 2012-02-10 | 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) | +14,362 14,362 owned after | $6.28 exercise price | 2012-02-14 | |
| 2012-02-10 | 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) | +108,216 108,216 owned after | $6.28 exercise price | 2012-02-14 | |
| 2012-02-10 | Ananias Stephen N Officer (Senior Vice President and CFO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +26,052 26,052 owned after | $6.28 exercise price | 2012-02-14 | |
| 2012-02-10 | Ananias Stephen N Officer (Senior Vice President and CFO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $6.28 exercise price | 2012-02-14 | |
| 2012-02-10 | 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) | +19,706 19,706 owned after | $6.28 exercise price | 2012-02-14 | |
| 2012-02-10 | 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) | +20,708 20,708 owned after | $6.28 exercise price | 2012-02-14 | |
| 2012-02-10 | Steege Brandi R Officer (VP and General Counsel) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,362 14,362 owned after | $6.28 exercise price | 2012-02-14 | |
| 2012-01-31 | 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 | $6.41 exercise price | 2012-02-01 | |
| 2012-01-31 | 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 | $6.41 exercise price | 2012-02-01 | |
| 2012-01-31 | 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 | $6.41 exercise price | 2012-02-01 | |
| 2012-01-31 | 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 | $6.41 exercise price | 2012-02-01 | |
| 2012-01-31 | 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 | $6.41 exercise price | 2012-02-01 | |
| 2012-01-31 | 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 | $6.41 exercise price | 2012-02-01 |