TOWERSTREAM CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 25 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-11-30: Reporting owner HERNON JOSEPH P; Form 4; Security Stock Option; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2011-11-30: Reporting owner HERNON JOSEPH P; Form 4; Security Stock Option; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2011-09-07: Reporting owner HERNON JOSEPH P; Form 4; Security Stock Option; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2011-07-07: Reporting owner Yarbrough Melvin LeRoy Jr.; Form 4; Security Option to Purchase Common Stock; 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 |
|---|---|---|---|---|---|---|---|---|
| 2011-11-30 | HERNON JOSEPH P Officer (Chief Financial Officer) | 4 | Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −10,648 66,665 owned after | $0.78 exercise price | 2011-12-02 | |
| 2011-11-30 | HERNON JOSEPH P Officer (Chief Financial Officer) | 4 | Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −11,574 138,426 owned after | $1.45 exercise price | 2011-12-02 | |
| 2011-09-07 | HERNON JOSEPH P Officer (Chief Financial Officer) | 4 | Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −22,687 77,313 owned after | $0.78 exercise price | 2011-09-09 | |
| 2011-07-07 | Yarbrough Melvin LeRoy Jr. Officer (Chief Operating Officer) | 4 | Option to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +72,000 72,000 owned after | $5.25 exercise price | 2011-07-08 | |
| 2011-07-07 | Yarbrough Melvin LeRoy Jr. Officer (Chief Operating Officer) | 4 | Option to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +187,500 187,500 owned after | $5.25 exercise price | 2011-07-08 | |
| 2011-07-07 | Thompson Jeffrey M Director, Officer (President and CEO) | 4 | Option to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +132,000 132,000 owned after | $5.25 exercise price | 2011-07-08 | |
| 2011-07-07 | Thompson Jeffrey M Director, Officer (President and CEO) | 4 | Option to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +175,000 175,000 owned after | $5.25 exercise price | 2011-07-08 | |
| 2011-07-07 | HERNON JOSEPH P Officer (Chief Financial Officer) | 4 | Option to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +96,000 96,000 owned after | $5.25 exercise price | 2011-07-08 | |
| 2011-07-07 | HERNON JOSEPH P Officer (Chief Financial Officer) | 4 | Option to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +82,500 82,500 owned after | $5.25 exercise price | 2011-07-08 | |
| 2011-06-24 | Thompson Jeffrey M Director, Officer (President and CEO) | 4 | Incentive Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,720 60,720 owned after | $4.94 exercise price | 2011-07-01 | |
| 2011-06-24 | Thompson Jeffrey M Director, Officer (President and CEO) | 4 | Non-Qualified Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +39,280 39,280 owned after | $4.94 exercise price | 2011-07-01 | |
| 2011-06-24 | HERNON JOSEPH P Officer (Chief Financial Officer) | 4 | Incentive Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,000 60,000 owned after | $4.94 exercise price | 2011-07-01 | |
| 2011-06-24 | Yarbrough Melvin LeRoy Jr. Officer (Chief Operating Officer) | 4 | Incentive Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,000 60,000 owned after | $4.94 exercise price | 2011-07-01 | |
| 2011-06-01 | BUSH WILLIAM JOHN Director | 4 | Non-Qualified Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $5.23 exercise price | 2011-06-03 | |
| 2011-06-01 | Urso Philip | 4 | Non-Qualified Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $5.23 exercise price | 2011-06-03 | |
| 2011-06-01 | Haronian Howard L Director | 4 | Non-Qualified Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $5.23 exercise price | 2011-06-03 | |
| 2011-06-01 | Koehler Paul Director | 4 | Non-Qualified Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $5.23 exercise price | 2011-06-03 | |
| 2011-05-24 | Koehler Paul Director | 4 | Non-Qualified Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −48,650 0 owned after | $0.73 exercise price | 2011-06-03 | |
| 2011-03-02 | Yarbrough Melvin LeRoy Jr. Officer (Chief Operating Officer) | 4 | Incentive Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −21,666 10,834 owned after | $1.45 exercise price | 2011-03-03 | |
| 2011-03-02 | Yarbrough Melvin LeRoy Jr. Officer (Chief Operating Officer) | 4 | Non-Qualified Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −21,666 10,834 owned after | $1.45 exercise price | 2011-03-03 | |
| 2011-03-02 | Yarbrough Melvin LeRoy Jr. Officer (Chief Operating Officer) | 4 | Non-Qualified Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −33,333 16,667 owned after | $0.69 exercise price | 2011-03-03 | |
| 2011-03-02 | Yarbrough Melvin LeRoy Jr. Officer (Chief Operating Officer) | 4 | Non-Qualified Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −18,683 0 owned after | $0.77 exercise price | 2011-03-03 | |
| 2011-03-02 | Yarbrough Melvin LeRoy Jr. Officer (Chief Operating Officer) | 4 | Non-Qualified Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −100,000 0 owned after | $0.78 exercise price | 2011-03-03 | |
| 2011-02-07 | HERNON JOSEPH P Officer (Chief Financial Officer) | 4 | Incentive Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −16,666 8,334 owned after | $0.69 exercise price | 2011-02-09 | |
| 2011-02-07 | HERNON JOSEPH P Officer (Chief Financial Officer) | 4 | Incentive Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −19,797 0 owned after | $0.77 exercise price | 2011-02-09 |