NORTEK INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 46 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-08-31: Reporting owner O'Neal Michael A.; Form 4; Security Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2016-08-31: Reporting owner O'Neal Michael A.; Form 4; Security Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2016-08-31: Reporting owner Mueller Jeffrey Lee; Form 4; Security Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2016-08-31: Reporting owner Mueller Jeffrey Lee; Form 4; Security Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-08-31 | O'Neal Michael A. Officer (Group President, NSC) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,258 0 owned after | $5.16 | 2016-09-01 | |
| 2016-08-31 | O'Neal Michael A. Officer (Group President, NSC) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −9,216 0 owned after | $47.01 | 2016-09-01 | |
| 2016-08-31 | Mueller Jeffrey Lee Officer (Group President, AQH) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,609 0 owned after | $1.56 | 2016-09-01 | |
| 2016-08-31 | Mueller Jeffrey Lee Officer (Group President, AQH) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,258 0 owned after | $5.16 | 2016-09-01 | |
| 2016-08-31 | Mueller Jeffrey Lee Officer (Group President, AQH) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −17,409 0 owned after | $47.01 | 2016-09-01 | |
| 2016-08-31 | Coleman John T Director | 4 | Stock Option (Right to Buy Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $68.50 | 2016-09-01 | |
| 2016-08-31 | SMITH J DAVID Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $68.50 | 2016-09-01 | |
| 2016-08-31 | Lukas Daniel C Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $45.00 | 2016-08-31 | |
| 2016-08-31 | Rosenthal Bennett Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $68.50 | 2016-08-31 | |
| 2016-08-31 | Hirshorn James B Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −13,016 0 owned after | $33.19 | 2016-08-31 | |
| 2016-08-31 | Hirshorn James B Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,000 0 owned after | $68.50 | 2016-08-31 | |
| 2016-08-31 | Biasiotta Bruno Officer (COO, Air Management) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −22,943 0 owned after | $39.67 | 2016-08-31 | |
| 2016-08-31 | Bloomberg Jeffrey Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $68.50 | 2016-08-31 | |
| 2016-08-31 | Reilly Donald W. Officer (VP, Corp. Controller and CAO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,538 0 owned after | $51.80 | 2016-08-31 | |
| 2016-08-31 | Reilly Donald W. Officer (VP, Corp. Controller and CAO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,626 0 owned after | $5.16 | 2016-08-31 | |
| 2016-08-31 | Reilly Donald W. Officer (VP, Corp. Controller and CAO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,309 0 owned after | $13.35 | 2016-08-31 | |
| 2016-08-31 | Reilly Donald W. Officer (VP, Corp. Controller and CAO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,857 0 owned after | $13.52 | 2016-08-31 | |
| 2016-08-31 | Reilly Donald W. Officer (VP, Corp. Controller and CAO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −8,082 0 owned after | $47.01 | 2016-08-31 | |
| 2016-08-31 | Burling Timothy J Officer (SVP Ops Finance & Excellence) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,694 0 owned after | $50.30 | 2016-08-31 | |
| 2016-08-31 | Burling Timothy J Officer (SVP Ops Finance & Excellence) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,094 0 owned after | $5.16 | 2016-08-31 | |
| 2016-08-31 | Burling Timothy J Officer (SVP Ops Finance & Excellence) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,736 0 owned after | $13.35 | 2016-08-31 | |
| 2016-08-31 | Burling Timothy J Officer (SVP Ops Finance & Excellence) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,226 0 owned after | $13.52 | 2016-08-31 | |
| 2016-08-31 | Burling Timothy J Officer (SVP Ops Finance & Excellence) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −9,117 0 owned after | $47.01 | 2016-08-31 | |
| 2016-08-31 | Donnelly Kevin W Officer (SVP, GC & Secretary) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,804 0 owned after | $13.35 | 2016-08-31 | |
| 2016-08-31 | Donnelly Kevin W Officer (SVP, GC & Secretary) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −5,263 0 owned after | $5.16 | 2016-08-31 | |
| 2016-08-31 | Donnelly Kevin W Officer (SVP, GC & Secretary) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,148 0 owned after | $13.52 | 2016-08-31 | |
| 2016-08-31 | Donnelly Kevin W Officer (SVP, GC & Secretary) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −11,732 0 owned after | $47.01 | 2016-08-31 | |
| 2016-08-31 | CLARKE MICHAEL JOSEPH Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −22,713 0 owned after | $5.16 | 2016-08-31 | |
| 2016-08-31 | CLARKE MICHAEL JOSEPH Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −200,000 0 owned after | $59.84 | 2016-08-31 | |
| 2016-08-31 | CLARKE MICHAEL JOSEPH Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −21,352 0 owned after | $13.35 | 2016-08-31 | |
| 2016-08-31 | CLARKE MICHAEL JOSEPH Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −17,900 0 owned after | $13.52 | 2016-08-31 | |
| 2016-08-31 | CLARKE MICHAEL JOSEPH Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −73,723 0 owned after | $47.01 | 2016-08-31 | |
| 2016-08-31 | Segar Peter R. Officer (Group President, ERG) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,468 0 owned after | $5.16 | 2016-08-31 | |
| 2016-08-31 | Segar Peter R. Officer (Group President, ERG) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −4,401 0 owned after | $13.52 | 2016-08-31 | |
| 2016-08-31 | Segar Peter R. Officer (Group President, ERG) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −9,524 0 owned after | $47.01 | 2016-08-31 | |
| 2016-05-11 | Biasiotta Bruno Officer (COO, Air Management) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +22,943 22,943 owned after | $46.33 | 2016-05-12 | |
| 2016-01-29 | Mueller Jeffrey Lee Officer (Group President, AQH) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +17,409 17,409 owned after | $38.99 | 2016-02-02 | |
| 2016-01-29 | O'Neal Michael A. Officer (Group President, NSC) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,216 9,216 owned after | $38.99 | 2016-02-02 | |
| 2016-01-29 | Reilly Donald W. Officer (VP Corp. Controller & CAO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,082 8,082 owned after | $38.99 | 2016-02-02 | |
| 2016-01-29 | CLARKE MICHAEL JOSEPH Director, Officer (President and CEO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +73,723 73,723 owned after | $38.99 | 2016-02-02 | |
| 2016-01-29 | DeVincent Mark Officer (Group President - CAS) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,339 9,339 owned after | $38.99 | 2016-02-02 | |
| 2016-01-29 | Donnelly Kevin W Officer (SR VP GC & SECRETARY) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,732 11,732 owned after | $38.99 | 2016-02-02 | |
| 2016-01-29 | Segar Peter R. Officer (Group President, ERG) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,524 9,524 owned after | $38.99 | 2016-02-01 | |
| 2016-01-29 | LaGrand David J. Officer (Group President, RCH) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,327 10,327 owned after | $38.99 | 2016-02-01 | |
| 2016-01-29 | Burling Timothy J Officer (SVP Ops Finance & Excellence) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,117 9,117 owned after | $38.99 | 2016-02-01 | |
| 2016-01-04 | Keenan Thomas A. Director | 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 | $17.50 | 2016-01-05 |