TURBOSONIC TECHNOLOGIES INC Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 30 rows, 30 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2010-12-10: Reporting owner Alarie Raymond Leopold; Form 4/A; Security Subscription rights (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2010-12-10: Reporting owner Alarie Raymond Leopold; Form 4/A; Security Subscription rights (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2010-12-10: Reporting owner Alarie Raymond Leopold; Form 4/A; Security Subscription rights (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2010-12-10: Reporting owner Alarie Raymond Leopold; Form 4/A; 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 |
|---|---|---|---|---|---|---|---|---|
| 2010-12-10 | Alarie Raymond Leopold Director | 4/A | Subscription rights (right to buy) Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 0 owned after | $0.34 exercise price | 2010-12-22 | |
| 2010-12-10 | Alarie Raymond Leopold Director | 4/A | Subscription rights (right to buy) Derivative · Indirect · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 0 owned after | $0.34 exercise price | 2010-12-22 | |
| 2010-12-10 | Alarie Raymond Leopold Director | 4/A | Subscription rights (right to buy) Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 0 owned after | $0.34 exercise price | 2010-12-17 | |
| 2010-12-10 | Alarie Raymond Leopold Director | 4/A | Subscription rights (right to buy) Derivative · Indirect · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 0 owned after | $0.34 exercise price | 2010-12-17 | |
| 2010-12-10 | Gimpel Richard Carroll Officer (VP Sales & Marketing) | 4/A | Subscription rights (right to buy) Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,062 0 owned after | $0.34 exercise price | 2010-12-17 | |
| 2010-12-10 | Gimpel Richard Carroll Officer (VP Sales & Marketing) | 4/A | Subscription rights (right to buy) Derivative · Indirect · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 0 owned after | $0.34 exercise price | 2010-12-17 | |
| 2010-12-10 | Young Carl Andrew Officer (Chief Financial Officer) | 4/A | Subscription rights (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,500 0 owned after | $0.34 exercise price | 2010-12-17 | |
| 2010-12-10 | HOBSON DAVID J Officer (VP Finance & Administration) | 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 | $0.34 exercise price | 2010-12-14 | |
| 2010-12-10 | Gimpel Richard Carroll Officer (VP Sales & Marketing) | 4 | Subscription rights (right to buy) Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,062 0 owned after | $0.34 exercise price | 2010-12-14 | |
| 2010-12-10 | Gimpel Richard Carroll Officer (VP Sales & Marketing) | 4 | Subscription rights (right to buy) Derivative · Indirect · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 0 owned after | $0.34 exercise price | 2010-12-14 | |
| 2010-12-10 | Young Carl Andrew Officer (Chief Financial Officer) | 4 | Subscription rights (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,500 0 owned after | $0.34 exercise price | 2010-12-14 | |
| 2010-12-10 | SPINK EDWARD F Director, Officer (Chief Executive Officer) | 4 | Subscription rights (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −147,058 0 owned after | $0.34 exercise price | 2010-12-14 | |
| 2010-12-10 | ALLAN ROBERT A Officer (VP Engineering) | 4 | Subscription rights (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −27,750 0 owned after | $0.34 exercise price | 2010-12-14 | |
| 2010-12-10 | VAN EVERDINGEN EGBERT Q Director, Officer (President) | 4 | Subscription rights (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,706 0 owned after | $0.34 exercise price | 2010-12-14 | |
| 2010-12-10 | Wright Glen Orloe Director | 4 | Subscription rights (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −17,000 0 owned after | $0.34 exercise price | 2010-12-14 | |
| 2010-12-10 | Deszca Frederick Eugene Director | 4 | Subscription rights (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 0 owned after | $0.34 exercise price | 2010-12-14 | |
| 2010-12-10 | Kivenko Ken Director | 4 | Subscription rights (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,500 0 owned after | $0.34 exercise price | 2010-12-14 | |
| 2010-12-10 | HURD RICHARD H Director | 4 | Subscription rights (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −19,464 0 owned after | $0.34 exercise price | 2010-12-14 | |
| 2010-12-10 | Alarie Raymond Leopold Director | 4 | Subscription rights (right to buy) Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 0 owned after | $0.34 exercise price | 2010-12-14 | |
| 2010-12-10 | Alarie Raymond Leopold Director | 4 | Subscription rights (right to buy) Derivative · Indirect · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 0 owned after | $0.34 exercise price | 2010-12-14 | |
| 2008-12-11 holding as of filing | Deszca Frederick Eugene Director | 3 | No securities owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2008-12-11 | |
| 2008-12-04 | SPINK EDWARD F Director, Officer (Chief Executive Officer) | 4 | Convertible Securities Derivative · Direct | C Conversion of derivative security | −350,085 0 owned after | $0.00 | 2009-03-30 | |
| 2007-10-03 | SPINK DONALD R SR Director | 4 | Convertible securities Derivative · Indirect · Family trust | C Conversion of derivative security | −1,688,000 0 owned after | $0.00 | 2007-10-18 | |
| 2006-02-10 | SPINK EDWARD F Director | 4 | Convertible securities Derivative · Direct | C Conversion of derivative security | −75,338 350,085 owned after | $0.00 | 2006-02-13 | |
| 2006-02-10 | FORDE PATRICK J Director, Officer (President, Secretary-Treasurer) | 4 | Convertible securities Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | −509,551 0 owned after | $0.00 | 2006-02-13 | |
| 2006-02-10 | FORDE PATRICK J Director, Officer (President, Secretary-Treasurer) | 4 | Convertible securities Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | +509,551 509,551 owned after | $0.00 | 2006-02-13 | |
| 2006-02-10 | FORDE PATRICK J Director, Officer (President, Secretary-Treasurer) | 4 | Convertible securities Derivative · Direct · (m) | C Conversion of derivative security | −509,551 0 owned after | $0.00 | 2006-02-13 | |
| 2006-02-07 | SPINK DONALD R SR Director, 10% Owner | 4 | Convertible securities Derivative · Indirect · (m) | C Conversion of derivative security | −976,234 1,688,000 owned after | $0.00 | 2006-02-08 | |
| 2006-02-07 | SPINK DONALD R SR Director, 10% Owner | 4 | Convertible securities Derivative · Direct · (m) | C Conversion of derivative security | −378,431 0 owned after | $0.00 | 2006-02-08 | |
| 2006-01-23 | BERUBE RONALD A Officer (VP Sales & Marketing) | 4 | Convertible Securities Derivative · Direct | C Conversion of derivative security | −22,000 128,000 owned after | $0.00 | 2006-02-07 |