THERMOENERGY CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 53 rows, 53 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-04-15: Reporting owner KELLER DAVID L; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-03-20: Reporting owner Bartlett Joseph P; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-03-20: Reporting owner REYNOLDS ARTHUR S; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-03-20: Reporting owner Hughes Shawn; Form 4; Security 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 |
|---|---|---|---|---|---|---|---|---|
| 2013-04-15 | KELLER DAVID L Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.05 exercise price | 2013-04-16 | |
| 2013-03-20 | Bartlett Joseph P Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.05 exercise price | 2013-03-20 | |
| 2013-03-20 | REYNOLDS ARTHUR S Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 0 owned after | $0.05 exercise price | 2013-03-20 | |
| 2013-03-20 | Hughes Shawn Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 0 owned after | $0.05 exercise price | 2013-03-20 | |
| 2013-03-20 | Agnihotri Dileep Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 0 owned after | $0.05 exercise price | 2013-03-20 | |
| 2013-03-20 | HUGHES J WINDER Director, 10% Owner | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 0 owned after | $0.05 exercise price | 2013-03-20 | |
| 2013-03-20 | Bullock Cary Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 0 owned after | $0.05 exercise price | 2013-03-20 | |
| 2013-01-02 | Wood James F. Director, Officer (Chairman, President and CEO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,750,000 13,750,000 owned after | $0.09 exercise price | 2013-01-02 | |
| 2012-09-05 holding as of filing | Landegger Gregory M Officer (Vice President and COO) | 3 | Stock Option Derivative · Direct | Holding | $0.10 exercise price | 2012-09-05 | ||
| 2012-05-15 | Bartlett Joseph P Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.15 exercise price | 2012-05-16 | |
| 2012-01-17 holding as of filing | Agnihotri Dileep Director | 3 | Stock Option Derivative · Direct | Holding | $0.23 exercise price | 2012-01-17 | ||
| 2012-01-14 | Agnihotri Dileep Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.23 exercise price | 2012-01-17 | |
| 2011-12-13 | Hughes Shawn Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.15 exercise price | 2011-12-23 | |
| 2011-12-13 | REYNOLDS ARTHUR S Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.15 exercise price | 2011-12-23 | |
| 2011-12-13 | HUGHES J WINDER Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.15 exercise price | 2011-12-23 | |
| 2011-12-13 | Anthony David Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.15 exercise price | 2011-12-23 | |
| 2010-11-18 | Anthony David Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.35 exercise price | 2010-11-19 | |
| 2010-11-18 | REYNOLDS ARTHUR S Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.35 exercise price | 2010-11-19 | |
| 2010-11-18 | HUGHES J WINDER Director, 10% Owner | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.35 exercise price | 2010-11-19 | |
| 2010-11-18 | Hughes Shawn Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.35 exercise price | 2010-11-19 | |
| 2010-03-09 | COSSEY DENNIS C Director, Officer (Chairman of the Board) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,000,000 1,000,000 owned after | $0.30 exercise price | 2010-03-10 | |
| 2010-01-28 holding as of filing | Bullock Cary Director, Officer (President and CEO) | 3 | Stock Option Derivative · Direct | Holding | $0.30 exercise price | 2010-01-28 | ||
| 2010-01-27 | KLOWAN TEODOR JR Officer (EVP, Treasurer and CFO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,579,701 1,579,701 owned after | $0.30 exercise price | 2010-01-28 | |
| 2009-12-29 holding as of filing | Field David A Director | 3 | Option (Right to Buy) Derivative · Direct | Holding | $0.30 exercise price | 2009-12-29 | ||
| 2009-12-18 holding as of filing | Bartlett Joseph P Director | 3/A | Option (Right to Buy) Derivative · Direct | Holding | $0.37 exercise price | 2009-12-18 | ||
| 2009-12-18 holding as of filing | Anthony David Director | 3/A | Option (Right to Buy) Derivative · Direct | Holding | $0.37 exercise price | 2009-12-18 | ||
| 2009-12-15 | REYNOLDS ARTHUR S Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.39 exercise price | 2009-12-16 | |
| 2009-12-15 | HUGHES J WINDER Director, 10% Owner | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.39 exercise price | 2009-12-16 | |
| 2009-12-08 holding as of filing | KLOWAN TEODOR JR Officer (Exec. VP and CFO) | 3 | Stock Option Derivative · Direct | Holding | $0.32 exercise price | 2009-12-08 | ||
| 2009-12-03 holding as of filing | HUGHES J WINDER Director | 3 | Stock Option Derivative · Direct · (m) | Holding | $0.33 exercise price | 2009-12-03 | ||
| 2009-10-19 holding as of filing | Bartlett Joseph P Director | 3 | Option Derivative · Direct | Holding | $0.37 exercise price | 2009-10-19 | ||
| 2009-10-19 holding as of filing | Anthony David Director | 3 | Option Derivative · Direct | Holding | $0.37 exercise price | 2009-10-19 | ||
| 2009-10-15 | Gelbaum Monica Chavez | Gelbaum David | Quercus Trust | Director, 10% Owner | 10% Owner | 4/A | Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.37 exercise price | 2009-12-18 | |
| 2009-10-15 | Gelbaum Monica Chavez | Quercus Trust | Gelbaum David | 10% Owner | Director, 10% Owner | 4 | Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $0.37 exercise price | 2009-10-19 | |
| 2008-10-02 | REYNOLDS ARTHUR S Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +30,000 30,000 owned after | $0.55 exercise price | 2008-10-03 | |
| 2008-09-10 | Gelbaum David | Gelbaum Monica Chavez | Quercus Trust Director | | 10% Owner | 4 | Nonqualified Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.78 exercise price | 2008-09-16 | |
| 2008-06-26 | LOEFFLER PAUL Director | 4 | Non-Qualified Stock Option Derivative · Direct | J Other acquisition or disposition (describe transaction) | +30,000 30,000 owned after | $1.24 exercise price | 2008-12-10 | |
| 2008-06-26 | LOEFFLER PAUL Director | 4 | Non-Qualified Stock Option Derivative · Direct | J Other acquisition or disposition (describe transaction) | +11,900 11,900 owned after | $1.75 exercise price | 2008-12-10 | |
| 2008-06-26 | ORTMANN LOUIS Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +30,000 30,000 owned after | $1.24 exercise price | 2008-07-01 | |
| 2008-06-26 | ORTMANN LOUIS Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +11,900 11,900 owned after | $1.75 exercise price | 2008-07-01 | |
| 2008-06-26 | ROENIGK MARTIN A Director, 10% Owner | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +30,000 30,000 owned after | $1.24 exercise price | 2008-06-27 | |
| 2008-06-26 | FAULKENBERRY LOWELL E Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +30,000 30,000 owned after | $1.24 exercise price | 2008-06-27 | |
| 2008-06-26 | COSSEY DENNIS C Director, Officer (CEO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +797,500 797,500 owned after | $1.75 exercise price | 2008-06-27 | |
| 2008-06-26 | Fassbender Alexander G Director, Officer (Exec. VP and CTO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +412,500 412,500 owned after | $1.75 exercise price | 2008-06-27 | |
| 2008-06-26 | MELTON ANDREW Director, Officer (Exec. VP & CFO) | 4 | Employrr Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +7,500 7,500 owned after | $1.75 exercise price | 2008-06-27 | |
| 2008-01-03 holding as of filing | Hughes Shawn Officer (President & COO) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $0.90 exercise price | 2008-01-03 | ||
| 2008-01-01 | Fassbender Alexander G Director, Officer (EVP & Chief Technology Off.) | 4 | Employee Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +350,000 350,000 owned after | $1.11 exercise price | 2008-01-02 | |
| 2008-01-01 | MELTON ANDREW Director, Officer (Executive Vice President & CFO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +350,000 350,000 owned after | $1.11 exercise price | 2008-01-02 | |
| 2008-01-01 | COSSEY DENNIS C Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +350,000 350,000 owned after | $1.11 exercise price | 2008-01-02 | |
| 2007-06-14 | ROENIGK MARTIN A Director, 10% Owner | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.25 | 2007-06-15 | |
| 2007-06-14 | FAULKENBERRY LOWELL E Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.25 | 2007-06-15 | |
| 2006-04-21 holding as of filing | Lahaie David P Director | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $0.46 exercise price | 2006-04-21 | ||
| 2006-04-21 holding as of filing | Lahaie David P Director | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $0.94 exercise price | 2006-04-21 |