MOCON INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 18 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-12-28: Reporting owner Lindsoe Elissa Jeanette; Form 4; Security Incentive Employee Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-12-28: Reporting owner Lindsoe Elissa Jeanette; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-12-28: Reporting owner DEMOREST ROBERT L; Form 4; Security Incentive Employee Stock Option (right to buy; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-12-28: Reporting owner DEMOREST ROBERT L; Form 4; Security Non-Qualified 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 |
|---|---|---|---|---|---|---|---|---|
| 2016-12-28 | Lindsoe Elissa Jeanette Officer (CFO) | 4 | Incentive Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,263 5,263 owned after | $19.00 exercise price | 2016-12-30 | |
| 2016-12-28 | Lindsoe Elissa Jeanette Officer (CFO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,737 14,737 owned after | $19.00 exercise price | 2016-12-30 | |
| 2016-12-28 | DEMOREST ROBERT L Director, Officer (Chairman, Pres & CEO) | 4 | Incentive Employee Stock Option (right to buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,263 5,263 owned after | $19.00 exercise price | 2016-12-30 | |
| 2016-12-28 | DEMOREST ROBERT L Director, Officer (Chairman, Pres & CEO) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +44,737 44,737 owned after | $19.00 exercise price | 2016-12-30 | |
| 2016-12-28 | 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 | $19.00 exercise price | 2016-12-30 | |
| 2016-12-28 | 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 | $19.00 exercise price | 2016-12-30 | |
| 2016-12-28 | 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 | $19.00 exercise price | 2016-12-30 | |
| 2016-12-28 | IVERSON KATHLEEN P 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 | $19.00 exercise price | 2016-12-30 | |
| 2016-12-28 | 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 | $19.00 exercise price | 2016-12-30 | |
| 2016-12-28 | ZELLER PAUL R 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 | $19.00 exercise price | 2016-12-30 | |
| 2016-12-28 | Barto Michael Officer (Sr VP Global Mfg & Engineering) | 4 | Incentive Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,263 5,263 owned after | $19.00 exercise price | 2016-12-30 | |
| 2016-12-28 | Barto Michael Officer (Sr VP Global Mfg & Engineering) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,737 9,737 owned after | $19.00 exercise price | 2016-12-30 | |
| 2016-12-22 | 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 | −10,000 0 owned after | $9.21 | 2016-12-27 | |
| 2016-12-16 | 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 | −2,000 0 owned after | $9.21 | 2016-12-20 | |
| 2016-12-15 | 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 | −2,000 0 owned after | $9.21 | 2016-12-19 | |
| 2016-09-07 holding as of filing | Barto Michael Officer (VP, Mfg and Engineering) | 3 | Incentive Stock Option (right to buy) Derivative · Direct | Holding | $14.38 exercise price | 2016-09-07 | ||
| 2016-09-07 holding as of filing | Barto Michael Officer (VP, Mfg and Engineering) | 3 | Non-Qualified Stock Option (right to buy) Derivative · Direct | Holding | $14.38 exercise price | 2016-09-07 | ||
| 2016-06-13 | DeMorett Donald Nicholas Director, Officer (Chief Operating Officer) | 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 | 2016-06-14 |