VALENCE TECHNOLOGY INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 54 rows, 54 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-07-31: Reporting owner Fisher Truman Joseph III; Form 4; Security Non-Employee Director Automatic Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-02-03: Reporting owner Gottschalk Donald E.; Form 3; Security Employee Stock Option (right to buy); Transaction Holding.
- 2012-02-03: Reporting owner Gottschalk Donald E.; Form 3; Security Employee Stock Option (right to buy); Transaction Holding.
- 2012-02-03: Reporting owner Gottschalk Donald E.; Form 3; Security Employee Stock Option (right to buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-07-31 | Fisher Truman Joseph III Director | 4 | Non-Employee Director Automatic 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 | $0.02 exercise price | 2012-08-10 | |
| 2012-02-03 holding as of filing | Gottschalk Donald E. Officer (Acting Chief Financial Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.15 exercise price | 2012-02-03 | ||
| 2012-02-03 holding as of filing | Gottschalk Donald E. Officer (Acting Chief Financial Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $2.80 exercise price | 2012-02-03 | ||
| 2012-02-03 holding as of filing | Gottschalk Donald E. Officer (Acting Chief Financial Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.56 exercise price | 2012-02-03 | ||
| 2012-02-01 | Gottschalk Donald E. Officer (Acting Chief Financial Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $1.01 exercise price | 2012-02-03 | |
| 2011-09-01 | Tognazzini Donn Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.17 exercise price | 2011-09-28 | |
| 2011-09-01 | ROBERTS BERT C JR Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.17 exercise price | 2011-09-28 | |
| 2011-09-01 | KERAMIDAS VASSILIS G Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.17 exercise price | 2011-09-28 | |
| 2011-09-01 | BERG CARL E Director, 10% Owner | 4 | STOCK OPTION Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.17 exercise price | 2011-09-28 | |
| 2011-05-26 | KANODE ROBERT L Director, Officer (Pres./Chief Executive 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 | $0.96 exercise price | 2011-09-26 | |
| 2011-04-01 | WILLIAMS ROGER Officer (See Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +175,000 175,000 owned after | $1.56 exercise price | 2011-04-05 | |
| 2011-04-01 | GOOLSBY ROSS A Officer (Chief Financial 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 | $1.56 exercise price | 2011-04-05 | |
| 2011-04-01 | Adleman Randall J. Officer (VP of Sales and Marketing) | 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 | $1.56 exercise price | 2011-04-05 | |
| 2011-04-01 | Lim Khoon Cheng Officer (Chief Technology 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 | $1.56 exercise price | 2011-04-05 | |
| 2010-09-02 | BERG CARL E Director, 10% Owner | 4 | STOCK OPTION Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +50,000 50,000 owned after | $0.81 exercise price | 2010-09-07 | |
| 2010-09-02 | BERG CARL E Director, 10% Owner | 4 | STOCK OPTION Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +50,000 100,000 owned after | $0.81 exercise price | 2010-09-07 | |
| 2010-09-02 | ROBERTS BERT C JR Director | 4 | Stock Option [right to buy] Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $0.81 exercise price | 2010-09-07 | |
| 2010-09-02 | ROBERTS BERT C JR Director | 4 | Stock Option [right to buy] Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 100,000 owned after | $0.81 exercise price | 2010-09-07 | |
| 2010-09-02 | KERAMIDAS VASSILIS G Director | 4 | Stock Option [right to buy] Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $0.81 exercise price | 2010-09-07 | |
| 2010-09-02 | KERAMIDAS VASSILIS G Director | 4 | Stock Option [right to buy] Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 100,000 owned after | $0.81 exercise price | 2010-09-07 | |
| 2010-09-02 | Tognazzini Donn Director | 4 | Stock Option [right to buy] Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $0.81 exercise price | 2010-09-07 | |
| 2010-09-02 | Tognazzini Donn Director | 4 | Stock Option [right to buy] Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 100,000 owned after | $0.81 exercise price | 2010-09-07 | |
| 2010-03-01 | Adleman Randall J. Officer (VP of Sales and Marketing) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $0.93 exercise price | 2010-03-02 | |
| 2009-06-15 | ROBERTS BERT C JR Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $1.93 exercise price | 2009-06-23 | |
| 2009-06-15 | BERG CARL E Director, 10% Owner | 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 | $1.93 exercise price | 2009-06-23 | |
| 2009-05-08 holding as of filing | Lim Khoon Cheng Officer (Chief Technology Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.65 exercise price | 2009-05-08 | ||
| 2009-05-08 holding as of filing | Johnston Alastair Other (VP World Wide Marketing & Sale) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $5.55 exercise price | 2009-05-08 | ||
| 2009-05-08 holding as of filing | Johnston Alastair Other (VP World Wide Marketing & Sale) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.93 exercise price | 2009-05-08 | ||
| 2009-05-08 holding as of filing | Johnston Alastair Other (VP World Wide Marketing & Sale) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.35 exercise price | 2009-05-08 | ||
| 2008-11-17 | GOOLSBY ROSS A Officer (Chief Financial Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +350,000 350,000 owned after | $1.81 exercise price | 2008-11-19 | |
| 2008-08-22 | KERAMIDAS VASSILIS G Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $3.78 exercise price | 2010-05-27 | |
| 2008-08-22 | ROBERTS BERT C JR Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $3.78 exercise price | 2010-05-27 | |
| 2008-08-22 | BERG CARL E Director, 10% Owner | 4 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $3.78 exercise price | 2010-05-26 | |
| 2008-07-03 | Tognazzini Donn Director | 4/A | 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 | $3.31 exercise price | 2009-12-18 | |
| 2008-07-03 | Tognazzini Donn Director | 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 | $3.31 exercise price | 2009-07-27 | |
| 2008-03-19 | HANNA RICKY Officer (Vice President of Operations) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,498 37,502 owned after | $1.32 exercise price | 2008-03-20 | |
| 2008-03-03 | Fischer Galen H. Officer (Chief Financial Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $3.94 exercise price | 2008-03-18 | |
| 2007-10-09 | HANNA RICKY Officer (Vice Pres. of Operations) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.49 exercise price | 2007-10-09 | |
| 2007-10-09 | KERAMIDAS VASSILIS G Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $1.49 exercise price | 2007-10-09 | |
| 2007-10-09 | ROBERTS BERT C JR Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $1.49 exercise price | 2007-10-09 | |
| 2007-10-09 | Mezger Thomas Fredrick Officer (Chief Financial Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.49 exercise price | 2007-10-09 | |
| 2007-10-09 | WILLIAMS ROGER Officer (General Counsel & Asst. Sec.) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.49 exercise price | 2007-10-09 | |
| 2007-08-16 | Locy John J Director | 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 | $1.13 exercise price | 2007-08-22 | |
| 2007-07-24 | KERAMIDAS VASSILIS G Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.15 exercise price | 2007-07-26 | |
| 2007-07-24 | ROBERTS BERT C JR Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.15 exercise price | 2007-07-26 | |
| 2007-07-24 | BERG CARL E Director, 10% Owner | 4 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.15 exercise price | 2007-07-26 | |
| 2007-04-09 holding as of filing | HANNA RICKY Officer (Vice President of Operations) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.32 exercise price | 2007-04-09 | ||
| 2007-03-28 holding as of filing | KANODE ROBERT L Director, Officer (Pres./Chief Executive Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.61 exercise price | 2007-03-28 | ||
| 2006-08-09 | Mezger Thomas Fredrick Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $1.73 exercise price | 2006-08-16 | |
| 2006-08-09 | WILLIAMS ROGER Officer (Gen. Counsel & Asst. Sec.) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $1.73 exercise price | 2006-08-15 | |
| 2006-08-09 | Akridge James Robert Director, Officer (Chief Executive Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $1.73 exercise price | 2006-08-15 | |
| 2006-08-09 | Guo Chuntai Officer (Pres. of Asian/Pacific Oper.) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $1.73 exercise price | 2006-08-14 | |
| 2006-03-29 holding as of filing | Guo Chuntai Officer (Pres. of Asian/Pacific Oper.) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.99 exercise price | 2006-03-29 | ||
| 2002-02-04 | ROBERTS BERT C JR Director | 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 | $3.95 exercise price | 2010-05-27 |