TOWER FINANCIAL CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 19 rows, 19 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-02-12: Reporting owner Bontrager Wendell L.; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-02-12: Reporting owner Bontrager Wendell L.; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-06-14: Reporting owner Bontrager Wendell L.; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-03-21: Reporting owner UNDERWOOD JAMES; Form 3; Security Common Stock Options; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-02-12 | Bontrager Wendell L. Officer (EVP, Chief Lending Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 0 owned after | $14.79 exercise price | 2014-02-14 | |
| 2014-02-12 | Bontrager Wendell L. Officer (EVP, Chief Lending Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 0 owned after | $16.13 exercise price | 2014-02-14 | |
| 2013-06-14 | Bontrager Wendell L. Officer (EVP, Chief Lending Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 0 owned after | $13.38 exercise price | 2013-06-14 | |
| 2012-03-21 holding as of filing | UNDERWOOD JAMES Officer (EVP, Sr Corporate Risk Manager) | 3 | Common Stock Options Derivative · Direct | Holding | $13.55 exercise price | 2012-03-21 | ||
| 2012-03-21 holding as of filing | UNDERWOOD JAMES Officer (EVP, Sr Corporate Risk Manager) | 3 | Common Stock Options Derivative · Direct | Holding | $13.35 exercise price | 2012-03-21 | ||
| 2012-02-16 holding as of filing | Bontrager Wendell L. Officer (EVP, Chief Lending Officer) | 3/A | Common Stock Options Derivative · Direct | Holding | $10.35 exercise price | 2012-02-16 | ||
| 2012-02-16 holding as of filing | Bontrager Wendell L. Officer (EVP, Chief Lending Officer) | 3/A | Common Stock Options Derivative · Direct | Holding | $13.55 exercise price | 2012-02-16 | ||
| 2012-02-16 holding as of filing | Bontrager Wendell L. Officer (EVP, Chief Lending Officer) | 3/A | Common Stock Options Derivative · Direct | Holding | $13.35 exercise price | 2012-02-16 | ||
| 2012-02-16 holding as of filing | Bontrager Wendell L. Officer (EVP, Chief Lending Officer) | 3/A | Common Stock Options Derivative · Direct | Holding | $13.38 exercise price | 2012-02-16 | ||
| 2012-02-16 holding as of filing | Bontrager Wendell L. Officer (EVP, Chief Lending Officer) | 3/A | Common Stock Options Derivative · Direct | Holding | $14.79 exercise price | 2012-02-16 | ||
| 2012-02-16 holding as of filing | Bontrager Wendell L. Officer (EVP, Chief Lending Officer) | 3/A | Common Stock Options Derivative · Direct | Holding | $16.13 exercise price | 2012-02-16 | ||
| 2011-05-31 holding as of filing | Bontrager Wendell L. Officer (Executive Vice President) | 3 | Common Stock Options Derivative · Direct | Holding | $10.35 exercise price | 2011-05-31 | ||
| 2011-05-31 holding as of filing | Bontrager Wendell L. Officer (Executive Vice President) | 3 | Common Stock Options Derivative · Direct | Holding | $13.55 exercise price | 2011-05-31 | ||
| 2011-05-31 holding as of filing | Bontrager Wendell L. Officer (Executive Vice President) | 3 | Common Stock Options Derivative · Direct | Holding | $13.35 exercise price | 2011-05-31 | ||
| 2011-05-31 holding as of filing | Bontrager Wendell L. Officer (Executive Vice President) | 3 | Common Stock Options Derivative · Direct | Holding | $13.38 exercise price | 2011-05-31 | ||
| 2011-05-31 holding as of filing | Bontrager Wendell L. Officer (Executive Vice President) | 3 | Common Stock Options Derivative · Direct | Holding | $14.79 exercise price | 2011-05-31 | ||
| 2011-05-31 holding as of filing | Bontrager Wendell L. Officer (Executive Vice President) | 3 | Common Stock Options Derivative · Direct | Holding | $16.13 exercise price | 2011-05-31 | ||
| 2006-11-20 holding as of filing | Jaggers Darrell L Officer (EVP & Chief Lending Officer) | 3 | Stock Option. Right to Purchase Derivative · Direct | Holding | $14.25 exercise price | 2006-11-20 | ||
| 2006-11-20 holding as of filing | Jaggers Darrell L Officer (EVP & Chief Lending Officer) | 3 | Stock Option. Right to Purchase Derivative · Direct | Holding | $16.13 exercise price | 2006-11-20 |