SEQUENTIAL BRANDS GROUP, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 27 rows, 27 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-12-14: Reporting owner Sobel Andrea; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-06-23: Reporting owner CHOW PATRICK; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-02-03: Reporting owner Sobel Andrea; Form 4; Security Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-02-03: Reporting owner DYNE COLIN; Form 4; Security 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 |
|---|---|---|---|---|---|---|---|---|
| 2011-12-14 | Sobel Andrea Officer (President of Licensing) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +750,000 750,000 owned after | $0.20 exercise price | 2012-03-21 | |
| 2011-06-23 | CHOW PATRICK Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500,000 500,000 owned after | $0.15 exercise price | 2011-06-27 | |
| 2011-02-03 | Sobel Andrea Officer (Exec VP Branding & Licensing) | 4 | Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500,000 500,000 owned after | $0.15 exercise price | 2011-02-07 | |
| 2011-02-03 | DYNE COLIN Director, Officer (Chief Executive Officer), 10% Owner | 4 | Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,000,000 3,000,000 owned after | $0.15 exercise price | 2011-02-07 | |
| 2009-06-12 | White Susan A Director | 4 | Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +48,000 48,000 owned after | $0.20 exercise price | 2009-06-16 | |
| 2009-06-12 | Wengrod Kenneth L. Director | 4 | Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +48,000 48,000 owned after | $0.20 exercise price | 2009-06-16 | |
| 2009-06-12 | Sobel Andrea Officer (Exec. VP, Branding & Licensing) | 4 | Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 45,000 owned after | $0.20 exercise price | 2009-06-16 | |
| 2009-06-12 | Oakey Dean Scott Director | 4 | Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +48,000 48,000 owned after | $0.20 exercise price | 2009-06-16 | |
| 2008-08-07 | Nields Thomas B Officer (COO) | 4 | Option to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $0.40 exercise price | 2008-08-11 | |
| 2008-06-26 | Oakey Dean Scott Director | 4 | Options to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.30 exercise price | 2008-06-30 | |
| 2008-06-26 | Wengrod Kenneth L. Director | 4 | Options to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.30 exercise price | 2008-06-30 | |
| 2008-06-26 | White Susan A Director | 4 | Options to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.30 exercise price | 2008-06-30 | |
| 2008-05-16 | Sobel Andrea Officer (Ex. VP of Branding & Licensing) | 4 | Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $0.40 exercise price | 2008-06-04 | |
| 2007-11-14 | Barber Darryn C Officer (CFO) | 4 | Options to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +450,000 450,000 owned after | $0.50 exercise price | 2007-11-16 | |
| 2007-09-21 | Wengrod Kenneth L. Director | 4 | Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,000 24,000 owned after | $0.50 exercise price | 2007-09-28 | |
| 2007-08-07 | Nields Thomas B Officer (COO) | 4 | Options to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.38 exercise price | 2007-08-09 | |
| 2007-08-07 | Barber Darryn C Officer (CFO) | 4 | Options to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.38 exercise price | 2007-08-09 | |
| 2007-07-06 | Oakey Dean Scott Director | 4 | Options to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,000 24,000 owned after | $0.31 exercise price | 2007-07-10 | |
| 2007-07-06 | White Susan A Director | 4 | Options to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,000 24,000 owned after | $0.31 exercise price | 2007-07-10 | |
| 2007-07-06 | Carter Troy L Director | 4 | Options to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,000 24,000 owned after | $0.31 exercise price | 2007-07-10 | |
| 2007-01-03 | Guez Daniel S Director, Officer (CEO and Secretary), 10% Owner | 4/A | Options to Purcahse Common Stock Derivative · Direct | J Other acquisition or disposition (describe transaction) | +0 0 owned after | no price filed | 2007-01-17 | |
| 2007-01-03 | Guez Daniel S Director, Officer (CEO and Secretary), 10% Owner | 4 | Options to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +340,000 340,000 owned after | $1.25 exercise price | 2007-01-04 | |
| 2006-11-17 holding as of filing | Nields Thomas B Officer (Chief Operating Officer) | 3 | Options to Purchase Common Stock Derivative · Direct | Holding | $1.25 exercise price | 2006-11-17 | ||
| 2006-07-31 | Houston Edward Charles JR Officer (President) | 4 | Options to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,000,000 1,000,000 owned after | $1.25 exercise price | 2006-07-31 | |
| 2006-07-07 | Barber Darryn C Officer (CFO, COO) | 4 | Options to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 300,000 owned after | $1.25 exercise price | 2006-07-11 | |
| 2006-06-22 | KEATING KEVIN R Director | 4 | Options to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +36,000 36,000 owned after | $1.25 exercise price | 2006-07-11 | |
| 2006-06-22 | Oakey Dean Scott Director | 4 | Options to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +36,000 36,000 owned after | $1.25 exercise price | 2006-07-11 |