TRI VALLEY CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 7 rows in 2009. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-12-21: Reporting owner CUNNINGHAM MASTON N; Form 3; Security Stock Option - Right To Buy; Transaction Holding.
- 2009-12-21: Reporting owner GREGORY MICHAEL D; Form 3; Security Stock Option - Right To Buy; Transaction Holding.
- 2009-12-21: Reporting owner KROMER JAMES C; Form 3; Security Stock Option - Right To Buy; Transaction Holding.
- 2009-12-21: Reporting owner DURBIN JOHN EDWARD; Form 3/A; Security Stock Option - Right To Buy; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2009-12-21 holding as of filing | CUNNINGHAM MASTON N Officer (Vice President, Corp. Dvlpment) | 3 | Stock Option - Right To Buy Derivative · Direct | Holding | $1.28 exercise price | 2009-12-21 | ||
| 2009-12-21 holding as of filing | GREGORY MICHAEL D Officer (Controller) | 3 | Stock Option - Right To Buy Derivative · Direct | Holding | $2.83 exercise price | 2009-12-21 | ||
| 2009-12-21 holding as of filing | KROMER JAMES C Officer (Vice President, Operations) | 3 | Stock Option - Right To Buy Derivative · Direct | Holding | $1.23 exercise price | 2009-12-21 | ||
| 2009-12-21 holding as of filing | DURBIN JOHN EDWARD Officer (Chief Financial Officer) | 3/A | Stock Option - Right To Buy Derivative · Direct | Holding | $2.42 exercise price | 2009-12-21 | ||
| 2009-12-21 holding as of filing | CUNNINGHAM MASTON N Officer (President & Chief Op Officer) | 4 | Stock Option - Right To Buy Derivative · Direct | Holding | 100,000 owned after | $1.28 exercise price | 2009-12-21 | |
| 2009-09-03 holding as of filing | Lowenstein Henry Director | 4 | Option Derivative · Direct | Holding | 100,000 owned after | $6.35 exercise price | 2009-09-03 | |
| 2009-05-15 | CUNNINGHAM MASTON N Officer (President & Chief Op Officer) | 4 | Stock Option - Right To Buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $1.10 exercise price | 2009-12-21 |