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 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-12-16: Reporting owner DEMOREST ROBERT L; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-12-16: Reporting owner DEMOREST ROBERT L; Form 4; Security Non-Statutory Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-12-12: Reporting owner PROULX RICHARD A; Form 4; Security Non-Statutory Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-12-12: Reporting owner PROULX RICHARD A; Form 4; Security Non-Statutory 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 |
|---|---|---|---|---|---|---|---|---|
| 2013-12-16 | 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 | −12,380 0 owned after | $8.08 | 2013-12-18 | |
| 2013-12-16 | 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 | −12,620 0 owned after | $8.08 | 2013-12-18 | |
| 2013-12-12 | 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 | $8.08 | 2013-12-16 | |
| 2013-12-12 | 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 | −3,500 0 owned after | $12.07 | 2013-12-16 | |
| 2013-12-10 | DEMOREST ROBERT L Director, Officer (Chairman, President & CEO) | 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 | 2013-12-12 | |
| 2013-12-10 | DEMOREST ROBERT L Director, Officer (Chairman, President & CEO) | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,712 0 owned after | $12.07 | 2013-12-12 | |
| 2013-12-09 | 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 | $8.08 | 2013-12-11 | |
| 2013-12-09 | 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 | −3,500 0 owned after | $12.07 | 2013-12-11 | |
| 2013-12-09 | 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 | $8.08 | 2013-12-11 | |
| 2013-12-09 | 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 | −8,288 0 owned after | $12.07 | 2013-12-11 | |
| 2013-12-06 | 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 | $8.08 | 2013-12-10 | |
| 2013-12-06 | 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 | −8,288 0 owned after | $12.07 | 2013-12-10 | |
| 2013-12-06 | LINDEMANN DOUGLAS J Officer (VP and General Manager) | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,712 0 owned after | $12.07 | 2013-12-10 | |
| 2013-11-22 | Lee Darrell B Officer (VP, CFO, Treasurer & Secretary) | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,712 0 owned after | $12.07 exercise price | 2013-11-26 | |
| 2013-11-22 | 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 | −7,500 0 owned after | $12.07 exercise price | 2013-11-26 | |
| 2013-11-21 | GALLAGHER ROBERT F 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 exercise price | 2013-11-22 | |
| 2013-04-03 | DeMorett Donald Nicholas Director, Officer (Chief Operating Officer) | 4 | Non-Statutory Stock Option Agreement (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 exercise price | 2013-04-05 | |
| 2013-01-14 | DeMorett Donald Nicholas Director, Officer (Chief Operating Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,063 7,063 owned after | $14.16 exercise price | 2013-01-15 | |
| 2013-01-14 | DeMorett Donald Nicholas Director, Officer (Chief Operating Officer) | 4 | Non-Statutory Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,937 2,937 owned after | $14.16 exercise price | 2013-01-15 |