MOCON INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 24 rows in 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-12-31: 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).
- 2012-12-31: Reporting owner Ward David J; Form 4; Security Non-Statutory Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-12-31: 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).
- 2012-12-31: Reporting owner GOSKOWICZ BRADLEY D; 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 |
|---|---|---|---|---|---|---|---|---|
| 2012-12-31 | 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) | +2,500 2,500 owned after | $14.40 exercise price | 2013-01-03 | |
| 2012-12-31 | Ward David J 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 | $14.40 exercise price | 2013-01-03 | |
| 2012-12-31 | 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) | +2,500 2,500 owned after | $14.40 exercise price | 2013-01-03 | |
| 2012-12-31 | GOSKOWICZ BRADLEY D 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 | $14.40 exercise price | 2013-01-03 | |
| 2012-12-31 | 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) | +2,500 2,500 owned after | $14.40 exercise price | 2013-01-03 | |
| 2012-12-31 | 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) | +6,944 6,944 owned after | $14.40 exercise price | 2013-01-03 | |
| 2012-12-31 | 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) | +3,056 3,056 owned after | $14.40 exercise price | 2013-01-03 | |
| 2012-12-31 | 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) | +6,944 6,944 owned after | $14.40 exercise price | 2013-01-03 | |
| 2012-12-31 | LINDEMANN DOUGLAS J Officer (VP and General Manager) | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,056 3,056 owned after | $14.40 exercise price | 2013-01-03 | |
| 2012-12-31 | 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) | +6,944 6,944 owned after | $14.40 exercise price | 2013-01-03 | |
| 2012-12-31 | 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) | +3,056 3,056 owned after | $14.40 exercise price | 2013-01-03 | |
| 2012-12-31 | 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) | +6,944 6,944 owned after | $14.40 exercise price | 2013-01-03 | |
| 2012-12-31 | Forsberg Robert E Officer (President, Baseline-MOCON, Inc) | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,056 3,056 owned after | $14.40 exercise price | 2013-01-03 | |
| 2012-12-31 | DEMOREST ROBERT L Director, Officer (Chairman, President & CEO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,944 6,944 owned after | $14.40 exercise price | 2013-01-03 | |
| 2012-12-31 | DEMOREST ROBERT L Director, Officer (Chairman, President & CEO) | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,056 6,056 owned after | $14.40 exercise price | 2013-01-03 | |
| 2012-11-02 | 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 | −10,000 0 owned after | $7.30 | 2012-11-06 | |
| 2012-10-30 | 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 | −12,000 0 owned after | $7.30 | 2012-11-01 | |
| 2012-10-24 | 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 | −13,700 0 owned after | $7.30 | 2012-10-26 | |
| 2012-10-24 | DEMOREST ROBERT L Director, Officer (Chairman, President and CEO) | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −11,300 0 owned after | $7.30 | 2012-10-26 | |
| 2012-08-28 | THOMAS TOM C 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 | 2012-08-30 | |
| 2012-02-28 | 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 | −2,500 0 owned after | $12.96 | 2012-03-01 | |
| 2012-02-24 | 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 | $7.30 | 2012-02-28 | |
| 2012-02-24 | 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 | −8,288 0 owned after | $12.07 | 2012-02-28 | |
| 2012-01-25 | 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 | −2,500 0 owned after | $8.58 | 2012-01-25 |