Peerless Systems Corporation Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 8 rows in 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-06-27: Reporting owner Dickman Matthew R.; Form 4/A; Security Options to acquire common stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-06-27: Reporting owner Stein Gerald A.; Form 4/A; Security Options to acquire common stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-06-27: Reporting owner BATHGATE STEVEN MARK; Form 4; Security Options to acquire common stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-06-27: Reporting owner Kuby Eric; Form 4; Security Options to acquire common stock; 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 |
|---|---|---|---|---|---|---|---|---|
| 2012-06-27 | Dickman Matthew R. Director | 4/A | Options to acquire common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $3.88 exercise price | 2013-02-07 | |
| 2012-06-27 | Stein Gerald A. Director | 4/A | Options to acquire common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $3.88 exercise price | 2013-02-07 | |
| 2012-06-27 | BATHGATE STEVEN MARK Director | 4 | Options to acquire common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 2,000 owned after | $3.88 exercise price | 2012-07-02 | |
| 2012-06-27 | Kuby Eric Director, 10% Owner | 4 | Options to acquire common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 2,000 owned after | $3.88 exercise price | 2012-07-02 | |
| 2012-06-27 | Jeffrey A. Hammer Director | 4 | Options to acquire common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 2,000 owned after | $3.88 exercise price | 2012-07-02 | |
| 2012-06-27 | Stein Gerald A. Director | 4 | Options to acquire common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 2,000 owned after | $3.88 exercise price | 2012-07-02 | |
| 2012-06-27 | Dickman Matthew R. Director | 4 | Options to acquire common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 2,000 owned after | $3.88 exercise price | 2012-07-02 | |
| 2012-03-12 | Brog Timothy E Director, Officer (Chief Executive Officer), 10% Owner | 4 | Options to acquire common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $3.99 exercise price | 2012-03-20 |