Sonic Foundry, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 13 rows in 2021. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-12-21: Reporting owner Mozden Joe Jr; Form 4; Security Employee Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2021-12-21: Reporting owner Mozden Joe Jr; Form 4; Security Employee Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2021-12-01: Reporting owner MINOR KENNETH A; Form 4; Security Employee Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2021-12-01: Reporting owner Lipps Robert M; Form 4; Security Employee Stock Option; 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 |
|---|---|---|---|---|---|---|---|---|
| 2021-12-21 | Mozden Joe Jr Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,000 410,000 owned after | $2.95 exercise price | 2022-03-11 | |
| 2021-12-21 | Mozden Joe Jr Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +180,000 590,000 owned after | $2.95 exercise price | 2022-03-11 | |
| 2021-12-01 | MINOR KENNETH A Officer (Chief Financial Officer) | 4 | Employee Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $3.70 exercise price | 2022-03-11 | |
| 2021-12-01 | Lipps Robert M Officer (Executive Vice President) | 4 | Employee Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 170,160 owned after | $3.70 exercise price | 2022-03-11 | |
| 2021-07-20 holding as of filing | St. Lawrence William Director | 3 | Non-Employee Director Stock Option Derivative · Direct | Holding | $3.75 exercise price | 2021-07-20 | ||
| 2021-07-20 holding as of filing | St. Lawrence William Director | 3 | Non-Employee Director Stock Option Derivative · Direct | Holding | $4.20 exercise price | 2021-07-20 | ||
| 2021-06-28 holding as of filing | Jangda Taha Director | 3 | Non-Employee Director Stock Option Derivative · Direct | Holding | $3.75 exercise price | 2021-06-28 | ||
| 2021-06-28 holding as of filing | Jangda Taha Director | 3 | Non-Employee Director Stock Option Derivative · Direct | Holding | $4.20 exercise price | 2021-06-28 | ||
| 2021-06-24 | BURISH MARK D Director, 10% Owner | 4 | Non-Employee Director Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 20,000 owned after | $3.75 exercise price | 2021-06-28 | |
| 2021-06-24 | Murphy Nelson A Director | 4 | Non-Employee Director Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 11,000 owned after | $3.75 exercise price | 2021-06-28 | |
| 2021-06-24 | Murphy Nelson A Director | 4 | Non-Employee Director Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500 11,500 owned after | $3.75 exercise price | 2021-06-28 | |
| 2021-06-24 | Wiegand Brian Director | 4 | Non-Employee Director Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 20,000 owned after | $3.75 exercise price | 2021-06-28 | |
| 2021-06-24 | KOPKO FREDERICK H JR Director | 4 | Non-Employee Director Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 20,000 owned after | $3.75 exercise price | 2021-06-28 |