MOCON INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 38 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-12-30: Reporting owner DEMOREST ROBERT L; Form 4; Security Employee Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-12-30: Reporting owner DEMOREST ROBERT L; Form 4; Security Non-Statutory Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-12-30: Reporting owner Forsberg Robert E; Form 4; Security Employee Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-12-30: Reporting owner Forsberg Robert E; 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 |
|---|---|---|---|---|---|---|---|---|
| 2011-12-30 | 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) | +6,250 6,250 owned after | $16.00 exercise price | 2012-01-04 | |
| 2011-12-30 | DEMOREST ROBERT L Director, Officer (Chairman, President and CEO) | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,750 6,750 owned after | $16.00 exercise price | 2012-01-04 | |
| 2011-12-30 | Forsberg Robert E Officer (President, Basline-MOCON, Inc.) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,250 6,250 owned after | $16.00 exercise price | 2012-01-04 | |
| 2011-12-30 | Forsberg Robert E Officer (President, Basline-MOCON, Inc.) | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,750 3,750 owned after | $16.00 exercise price | 2012-01-04 | |
| 2011-12-30 | 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) | +6,250 6,250 owned after | $16.00 exercise price | 2012-01-04 | |
| 2011-12-30 | Lee Darrell B Officer (VP, CFO, Treasurer & Secretary) | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,750 3,750 owned after | $16.00 exercise price | 2012-01-04 | |
| 2011-12-30 | 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) | +6,250 6,250 owned after | $16.00 exercise price | 2012-01-04 | |
| 2011-12-30 | 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) | +6,250 6,250 owned after | $16.00 exercise price | 2012-01-04 | |
| 2011-12-30 | MAYER DANIEL W Director, Officer (Executive Vice President) | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,750 3,750 owned after | $16.00 exercise price | 2012-01-04 | |
| 2011-12-30 | 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) | +2,500 2,500 owned after | $16.00 exercise price | 2012-01-04 | |
| 2011-12-30 | 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) | +2,500 2,500 owned after | $16.00 exercise price | 2012-01-04 | |
| 2011-12-30 | 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) | +2,500 2,500 owned after | $16.00 exercise price | 2012-01-04 | |
| 2011-12-30 | 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) | +2,500 2,500 owned after | $16.00 exercise price | 2012-01-04 | |
| 2011-12-30 | 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) | +2,500 2,500 owned after | $16.00 exercise price | 2012-01-04 | |
| 2011-12-30 | 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) | +2,500 2,500 owned after | $16.00 exercise price | 2012-01-04 | |
| 2011-11-07 | Forsberg Robert E Officer (President, Baseline-MOCON, Inc) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,600 2,500 owned after | $8.58 | 2011-11-08 | |
| 2011-11-07 | Forsberg Robert E Officer (President, Baseline-MOCON, Inc) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,500 0 owned after | $9.21 | 2011-11-08 | |
| 2011-11-04 | Forsberg Robert E Officer (President, Baseline-MOCON, Inc) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $8.08 | 2011-11-08 | |
| 2011-11-04 | Forsberg Robert E Officer (President, Baseline-MOCON, Inc) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 0 owned after | $9.18 | 2011-11-08 | |
| 2011-11-04 | Forsberg Robert E Officer (President, Baseline-MOCON, Inc) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −500 1,500 owned after | $8.91 | 2011-11-08 | |
| 2011-11-04 | Forsberg Robert E Officer (President, Baseline-MOCON, Inc) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −900 4,100 owned after | $8.58 | 2011-11-08 | |
| 2011-10-28 | Lee Darrell B Officer (VP, CFO, Treasurer & Secretary) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,500 2,500 owned after | $8.58 | 2011-10-31 | |
| 2011-10-25 | PROULX RICHARD A Director | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $9.38 | 2011-10-26 | |
| 2011-09-19 | LINDEMANN DOUGLAS J Officer (VP and General Manager) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,000 0 owned after | $6.70 | 2011-09-20 | |
| 2011-09-14 | MAYER DANIEL W Director, Officer (Executive Vice President) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,925 0 owned after | $6.70 | 2011-09-16 | |
| 2011-08-30 | DEMOREST ROBERT L Director, Officer (Chairman, President and CEO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −40,000 0 owned after | $6.70 | 2011-08-30 | |
| 2011-08-01 | Lee Darrell B Officer (VP, CFO, Treasurer & Secretary) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,500 4,000 owned after | $8.58 | 2011-08-02 | |
| 2011-07-22 | Forsberg Robert E Officer (President,Baseline-MOCON, Inc.) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −200 0 owned after | $9.40 | 2011-07-22 | |
| 2011-06-16 | CHENOWETH DEAN B Director | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,500 0 owned after | $12.07 | 2011-06-17 | |
| 2011-06-16 | CHENOWETH DEAN B Director | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,500 0 owned after | $10.95 | 2011-06-17 | |
| 2011-03-30 | CHENOWETH DEAN B Director | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $9.38 | 2011-04-01 | |
| 2011-03-30 | CHENOWETH DEAN B Director | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $9.18 | 2011-04-01 | |
| 2011-03-30 | CHENOWETH DEAN B Director | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,500 0 owned after | $8.91 | 2011-04-01 | |
| 2011-03-30 | CHENOWETH DEAN B Director | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 0 owned after | $9.21 | 2011-04-01 | |
| 2011-03-04 | CHENOWETH DEAN B Director | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $7.30 | 2011-03-07 | |
| 2011-03-04 | CHENOWETH DEAN B Director | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $8.08 | 2011-03-07 | |
| 2011-03-04 | CHENOWETH DEAN B Director | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 0 owned after | $8.58 | 2011-03-07 | |
| 2011-01-26 | Lee Darrell B Officer (VP, CFO, Treasurer & Secretary) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 5,500 owned after | $8.58 | 2011-01-26 |