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SPY INC. Forms 3, 4 and 5: Other

SPY INC. Forms 3, 4 and 5: Other

Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 5 rows, 5 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.

  • 2011-04-14: Reporting owner Montgomery Carol A; Form 3; Security Stock Appreciation Right; Transaction Holding.
  • 2009-01-30: Reporting owner Roark, Rearden & Hamot LLC | Costa Brava Partnership III LP | HAMOT SETH W; Form 4; Security Subscription Rights (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
  • 2006-09-05: Reporting owner COLLAZO JERRY; Form 3; Security No securities beneficially owned.; Transaction Holding.
  • 2006-04-14: Reporting owner Richards Francis; Form 3; Security No securities beneficially owned; Transaction Holding.
Transaction dateReporting ownerFormSecurityTransactionSharesPricePrice that dayFiling
2011-04-14
holding as of filing
Montgomery Carol A
Officer (Chief Executive Officer)
3Stock Appreciation Right
Derivative · Direct
Holding$1.85
exercise price
2011-04-14
2009-01-30Roark, Rearden & Hamot LLC | Costa Brava Partnership III LP | HAMOT SETH W
10% Owner | 10% Owner | 10% Owner
4Subscription Rights (right to buy)
Derivative · Direct
X Exercise of in-the-money or at-the-money derivative security−1,622,271
0 owned after
$0.80
exercise price
2009-02-03
2006-09-05
holding as of filing
COLLAZO JERRY
Officer (CFO and Secretary)
3No securities beneficially owned.
Non-derivative · Direct
Holding
0 owned after
no price filed2006-09-05
2006-04-14
holding as of filing
Richards Francis
Officer (VP, Marketing, Spy Optic)
3No securities beneficially owned
Non-derivative · Direct
Holding
0 owned after
no price filed2006-04-14
2006-03-09
holding as of filing
Kohlscheen Jerry Dean
Officer (Chief Operating Officer)
3No securities beneficially owned
Non-derivative · Direct
Holding
0 owned after
no price filed2006-03-09