VICON INDUSTRIES INC /NY/ Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 11 rows in 2009. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-08-11: Reporting owner HORN PETER A; Form 4; Security STOCK OPTION (RIGHT TO BUY); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2009-08-11: Reporting owner ROBERTSON W GREGORY; Form 4; Security STOCK OPTION (RIGHT TO BUY); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2009-08-10: Reporting owner DARBY KENNETH M; Form 4; Security STOCK OPTION (RIGHT TO BUY); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2009-08-07: Reporting owner MCGOWAN BRET M; Form 4; Security STOCK OPTION (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 |
|---|---|---|---|---|---|---|---|---|
| 2009-08-11 | HORN PETER A Officer (VP-OPERATIONS) | 4 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 28,500 owned after | $3.95 exercise price | 2009-08-11 | |
| 2009-08-11 | ROBERTSON W GREGORY Director | 4 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 14,500 owned after | $3.95 exercise price | 2009-08-11 | |
| 2009-08-10 | DARBY KENNETH M Director, Officer (CHAIRMAN/CEO) | 4 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,129 55,000 owned after | $3.95 exercise price | 2009-08-11 | |
| 2009-08-07 | MCGOWAN BRET M Officer (VP-U.S. SALES & MARKETING) | 4 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 33,500 owned after | $3.95 exercise price | 2009-08-10 | |
| 2009-07-30 | Wall Christopher J Officer (MANAGING DIRECTOR-VICON LTD.) | 4 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 35,000 owned after | $3.95 exercise price | 2009-07-31 | |
| 2009-07-29 | BADKE JOHN M Officer (SENIOR VP FINANCE & CFO) | 4 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 43,000 owned after | $3.95 exercise price | 2009-07-31 | |
| 2009-07-28 | Abiri Yigal Officer (GENERAL MGR-VICON SYSTEMS LTD.) | 4 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 17,500 owned after | $3.95 exercise price | 2009-07-29 | |
| 2009-06-05 holding as of filing | REYNOLDS BERNARD F Director | 3 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $5.51 exercise price | 2009-06-05 | ||
| 2009-05-28 | PSHTISSKY YACOV A Officer (VP-TECHNOLOGY & DEVELOPMENT) | 4 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 10,500 owned after | $3.95 exercise price | 2009-05-29 | |
| 2009-05-21 | NEUMANN PETER F Director | 4 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,500 14,500 owned after | $5.51 exercise price | 2009-05-28 | |
| 2009-05-21 | ROCHE ARTHUR D Director | 4 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 14,500 owned after | $3.95 exercise price | 2009-05-21 |