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 date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-04-14 holding as of filing | Montgomery Carol A Officer (Chief Executive Officer) | 3 | Stock Appreciation Right Derivative · Direct | Holding | $1.85 exercise price | 2011-04-14 | ||
| 2009-01-30 | Roark, Rearden & Hamot LLC | Costa Brava Partnership III LP | HAMOT SETH W 10% Owner | 10% Owner | 10% Owner | 4 | Subscription 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) | 3 | No securities beneficially owned. Non-derivative · Direct | Holding | 0 owned after | no price filed | 2006-09-05 | |
| 2006-04-14 holding as of filing | Richards Francis Officer (VP, Marketing, Spy Optic) | 3 | No securities beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2006-04-14 | |
| 2006-03-09 holding as of filing | Kohlscheen Jerry Dean Officer (Chief Operating Officer) | 3 | No securities beneficially owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2006-03-09 |