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: 19 rows in 2010. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2010-12-08: 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.
- 2010-12-08: Reporting owner BADKE JOHN M; Form 4; Security STOCK OPTION (RIGHT TO BUY); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2010-10-15: Reporting owner Abiri Yigal; Form 4; Security STOCK OPTION (RIGHT TO BUY); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2010-10-15: Reporting owner BADKE JOHN M; Form 4; Security STOCK OPTION (RIGHT TO BUY); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2010-12-08 | MCGOWAN BRET M Officer (VP - SALES) | 4 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,924 38,576 owned after | $3.17 exercise price | 2010-12-09 | |
| 2010-12-08 | 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 | −5,000 45,000 owned after | $3.17 exercise price | 2010-12-09 | |
| 2010-10-15 | Abiri Yigal Officer (GENERAL MGR-VICON SYSTEMS LTD.) | 4 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 24,500 owned after | $4.06 exercise price | 2010-10-18 | |
| 2010-10-15 | BADKE JOHN M Officer (SENIOR VP FINANCE & CFO) | 4 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 50,000 owned after | $4.06 exercise price | 2010-10-18 | |
| 2010-10-15 | JACOVINO FRANCIS L Officer (VP-TECHNOLOGY & DEVELOPMENT) | 4 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 22,000 owned after | $4.06 exercise price | 2010-10-18 | |
| 2010-10-15 | PROVINSAL MARK S Officer (VP-MARKETING & PRODUCT MGMT.) | 4 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 17,000 owned after | $4.06 exercise price | 2010-10-18 | |
| 2010-10-15 | MCGOWAN BRET M Officer (VP - SALES) | 4 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 40,500 owned after | $4.06 exercise price | 2010-10-18 | |
| 2010-10-15 | HORN PETER A Officer (VP-OPERATIONS) | 4 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 35,500 owned after | $4.06 exercise price | 2010-10-18 | |
| 2010-10-15 | Wall Christopher J Officer (MANAGING DIRECTOR-VICON LTD.) | 4 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 40,000 owned after | $4.06 exercise price | 2010-10-18 | |
| 2010-10-15 | DARBY KENNETH M Director, Officer (CHAIRMAN AND CEO) | 4 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 70,000 owned after | $4.06 exercise price | 2010-10-18 | |
| 2010-10-15 | REYNOLDS BERNARD F Director | 4 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 22,000 owned after | $4.06 exercise price | 2010-10-18 | |
| 2010-10-15 | NEUMANN PETER F Director | 4 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 21,500 owned after | $4.06 exercise price | 2010-10-18 | |
| 2010-10-15 | ROBERTSON W GREGORY Director | 4 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 21,500 owned after | $4.06 exercise price | 2010-10-18 | |
| 2010-10-15 | ROCHE ARTHUR D Director | 4 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,000 21,500 owned after | $4.06 exercise price | 2010-10-18 | |
| 2010-03-02 holding as of filing | JACOVINO FRANCIS L Officer (VP - CORPORATE ENGINEERING) | 3 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $5.30 exercise price | 2010-03-02 | ||
| 2010-02-04 | 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 4,500 owned after | $3.00 exercise price | 2010-02-08 | |
| 2010-02-04 | 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 | −3,000 1,500 owned after | $3.17 exercise price | 2010-02-08 | |
| 2010-02-04 | 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 | −1,500 0 owned after | $3.59 exercise price | 2010-02-08 | |
| 2010-01-06 holding as of filing | PROVINSAL MARK S Officer (VP-MARKETING & PRODUCT MGMT.) | 3 | STOCK OPTION (RIGHT TO BUY) Derivative · Direct | Holding | $5.27 exercise price | 2010-01-06 |