SURREY BANCORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 4 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-11-03: Reporting owner PEQUENO PEDRO A II; Form 4; Security Common Stock Option; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2014-10-31: Reporting owner TOWE MARK H; Form 4; Security Common Stock Options; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2014-01-27: Reporting owner PEQUENO PEDRO A II; Form 5; Security Common Stock Options; Transaction Holding.
- 2014-01-27: Reporting owner TOWE MARK H; Form 5; Security Common Stock Options; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-11-03 | PEQUENO PEDRO A II Officer (Chief Lending Officer) | 4 | Common Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −4,607 4,606 owned after | $12.06 | 2014-11-05 | |
| 2014-10-31 | TOWE MARK H Officer (Chief Financial Officer) | 4 | Common Stock Options Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −9,207 0 owned after | $12.06 | 2014-11-03 | |
| 2014-01-27 holding as of filing | PEQUENO PEDRO A II Officer (Sr. Vice President/CLO) | 5 | Common Stock Options Derivative · Direct | Holding | 1 owned after | $12.06 exercise price | 2014-01-27 | |
| 2014-01-27 holding as of filing | TOWE MARK H Officer (Sr. Vice President/CFO) | 5 | Common Stock Options Derivative · Direct | Holding | 1 owned after | $12.06 exercise price | 2014-01-27 |