TRANSWITCH CORP /DE Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 16 rows, 16 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2010-06-30: Reporting owner PAGOS JAMES M; Form 4; Security Subscription Rights (Rights to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2010-06-03: Reporting owner AALAEI FARAJ; Form 4/A; Security Subscription Rights; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2010-06-03: Reporting owner SHANKAR KRIS; Form 4; Security Subscription Rights (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2010-06-03: Reporting owner Chung Theodore; Form 4; Security Subscription Rights (Right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2010-06-30 | PAGOS JAMES M Director | 4 | Subscription Rights (Rights to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −23,450 0 owned after | $2.40 exercise price | 2010-06-07 | |
| 2010-06-03 | AALAEI FARAJ Director | 4/A | Subscription Rights Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −47,140 0 owned after | $2.40 exercise price | 2010-06-07 | |
| 2010-06-03 | SHANKAR KRIS Officer (VP, Worldwide Sales Marketing) | 4 | Subscription Rights (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,590 0 owned after | $2.40 exercise price | 2010-06-07 | |
| 2010-06-03 | Chung Theodore Officer (VP, Business Development) | 4 | Subscription Rights (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,000 0 owned after | $2.40 exercise price | 2010-06-07 | |
| 2010-06-03 | Bosi Robert A Officer (CFO, Principal Acct Officer) | 4 | Subscription Rights (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −38,000 0 owned after | $2.40 exercise price | 2010-06-07 | |
| 2010-06-03 | SRINIVASAN SAM Director | 4 | Subscription Rights (Rights to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −750 0 owned after | $2.40 exercise price | 2010-06-07 | |
| 2010-06-03 | Baer Thomas H Director | 4 | Subscription Rights (Right to buy) Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 0 owned after | $2.40 exercise price | 2010-06-07 | |
| 2010-06-03 | Baer Thomas H Director | 4 | Subscription Rights (Right to buy) Derivative · Indirect · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,520 0 owned after | $2.40 exercise price | 2010-06-07 | |
| 2010-06-03 | Crawford Michael Director | 4 | Subscription Rights (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 0 owned after | $2.40 exercise price | 2010-06-07 | |
| 2010-06-03 | AALAEI FARAJ Director | 4 | Subscription Rights (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −47,240 0 owned after | $2.40 exercise price | 2010-06-07 | |
| 2010-06-03 | CHEN HERBERT Director, 10% Owner | 4 | Subscription Rights (Right to buy) Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −669,355 0 owned after | $2.40 exercise price | 2010-06-07 | |
| 2010-06-03 | CHEN HERBERT Director, 10% Owner | 4 | Subscription Rights (Right to buy) Derivative · Indirect · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,330,290 0 owned after | $2.40 exercise price | 2010-06-07 | |
| 2010-06-03 | MONTRY GERALD F Director, Officer (CHAIRMAN) | 4 | Subscription Rights (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −105,000 0 owned after | $2.40 exercise price | 2010-06-07 | |
| 2010-06-03 | Khatibzadeh Mohammad Ali Officer (Chief Executive Officer) | 4 | Subscription Rights (Right to buy) Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −494,800 0 owned after | $2.40 exercise price | 2010-06-07 | |
| 2010-06-03 | Khatibzadeh Mohammad Ali Officer (Chief Executive Officer) | 4 | Subscription Rights (Right to buy) Derivative · Indirect · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,800 0 owned after | $2.40 exercise price | 2010-06-07 | |
| 2009-12-09 | SHANKAR KRIS Officer (VP, Worldwide Sales Marketing) | 4 | Employee Stock Optins (rights to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100 64,893 owned after | $2.43 | 2009-12-11 |