MOCON INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 19 rows in 2009. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-12-31: Reporting owner THOMAS TOM C; Form 4; Security Non-Statutory Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-12-31: Reporting owner PROULX RICHARD A; Form 4; Security Non-Statutory Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-12-31: Reporting owner GALLAGHER ROBERT F; Form 4; Security Non-Statutory Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-12-31: Reporting owner FRAME J LEONARD; Form 4; Security Non-Statutory Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2009-12-31 | THOMAS TOM C Director | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 2,000 owned after | $9.21 exercise price | 2010-01-05 | |
| 2009-12-31 | PROULX RICHARD A Director | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 2,000 owned after | $9.21 exercise price | 2010-01-05 | |
| 2009-12-31 | GALLAGHER ROBERT F Director | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 2,000 owned after | $9.21 exercise price | 2010-01-05 | |
| 2009-12-31 | FRAME J LEONARD Director | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 2,000 owned after | $9.21 exercise price | 2010-01-05 | |
| 2009-12-31 | DeMorett Donald Nicholas Director | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 2,000 owned after | $9.21 exercise price | 2010-01-05 | |
| 2009-12-31 | CHENOWETH DEAN B Director | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 2,000 owned after | $9.21 exercise price | 2010-01-05 | |
| 2009-12-31 | MEYER RONALD A Director, Officer (Vice President) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,000 1,000 owned after | $9.21 exercise price | 2010-01-05 | |
| 2009-12-31 | MAYER DANIEL W Director, Officer (Executive Vice President) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $9.21 exercise price | 2010-01-05 | |
| 2009-12-31 | LINDEMANN DOUGLAS J Officer (VP and General Manager) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $9.21 exercise price | 2010-01-05 | |
| 2009-12-31 | Forsberg Robert E Officer (President, Baseline-MOCON Inc.) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $9.21 exercise price | 2010-01-05 | |
| 2009-12-31 | Lee Darrell B Officer (VP, CFO, Treasurer & Secretary) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $9.21 exercise price | 2010-01-05 | |
| 2009-12-31 | DEMOREST ROBERT L Director, Officer (Chairman, President and CEO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $9.21 exercise price | 2010-01-05 | |
| 2009-02-18 holding as of filing | Forsberg Robert E Officer (President, Baseline-MOCON, Inc) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $9.40 exercise price | 2009-02-18 | ||
| 2009-02-18 holding as of filing | Forsberg Robert E Officer (President, Baseline-MOCON, Inc) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $8.08 exercise price | 2009-02-18 | ||
| 2009-02-18 holding as of filing | Forsberg Robert E Officer (President, Baseline-MOCON, Inc) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $9.18 exercise price | 2009-02-18 | ||
| 2009-02-18 holding as of filing | Forsberg Robert E Officer (President, Baseline-MOCON, Inc) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $8.91 exercise price | 2009-02-18 | ||
| 2009-02-18 holding as of filing | Forsberg Robert E Officer (President, Baseline-MOCON, Inc) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $12.07 exercise price | 2009-02-18 | ||
| 2009-02-18 holding as of filing | Forsberg Robert E Officer (President, Baseline-MOCON, Inc) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $10.95 exercise price | 2009-02-18 | ||
| 2009-02-18 holding as of filing | Forsberg Robert E Officer (President, Baseline-MOCON, Inc) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $8.58 exercise price | 2009-02-18 |