VIKING SYSTEMS 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.
- 2012-08-30: Reporting owner BOPP WILLIAM C; Form 4; Security Stock Options (right to buy); Transaction Holding.
- 2012-04-30: Reporting owner TUMBER WILLIAM T; Form 4; Security Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-04-30: Reporting owner PAUL AMY S; Form 4; Security Stock Option; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-04-30: Reporting owner Johnston Hooks; Form 4; Security Stock Option; 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 |
|---|---|---|---|---|---|---|---|---|
| 2012-08-30 holding as of filing | BOPP WILLIAM C Director | 4 | Stock Options (right to buy) Derivative · Direct | Holding | 187,500 owned after | no price filed | 2012-08-30 | |
| 2012-04-30 | TUMBER WILLIAM T Director | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 450,000 owned after | $0.21 exercise price | 2012-05-09 | |
| 2012-04-30 | PAUL AMY S Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 225,000 owned after | $0.21 exercise price | 2012-05-09 | |
| 2012-04-30 | Johnston Hooks Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 225,000 owned after | $0.21 exercise price | 2012-05-09 | |
| 2012-04-30 | De Perio Joseph A Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 225,000 owned after | $0.21 exercise price | 2012-05-09 | |
| 2012-04-30 | BOPP WILLIAM C Director, 10% Owner | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 187,500 owned after | $0.21 exercise price | 2012-05-09 | |
| 2011-06-17 holding as of filing | PAUL AMY S Director | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $0.30 exercise price | 2011-06-17 | ||
| 2011-06-17 holding as of filing | Johnson Hooks Director | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $0.30 exercise price | 2011-06-17 | ||
| 2011-06-17 holding as of filing | De Perio Joseph A Director | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $0.30 exercise price | 2011-06-17 | ||
| 2011-04-30 | TUMBER WILLIAM T Director | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 375,000 owned after | $0.24 exercise price | 2011-06-17 | |
| 2011-04-30 | BOPP WILLIAM C Director, 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 112,500 owned after | $0.24 exercise price | 2011-06-17 | |
| 2010-04-30 | TUMBER WILLIAM T Director | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 300,000 owned after | $0.24 exercise price | 2010-07-16 | |
| 2010-04-30 | BOPP WILLIAM C Director, 10% Owner | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +37,500 37,500 owned after | $0.24 exercise price | 2010-07-16 | |
| 2010-01-04 | MATHEWS ROBERT Officer (CHIEF FINANCIAL OFFICER) | 4 | Stock options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 1,250,000 owned after | $0.27 exercise price | 2010-01-06 | |
| 2009-10-16 | KENNEDY JOHN JED Director, Officer (President & COO) | 4 | Stock options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,100,000 3,800,000 owned after | $0.01 exercise price | 2009-10-21 | |
| 2009-10-16 | BOPP WILLIAM C Director, Officer (CEO), 10% Owner | 4 | Stock Options Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,100,000 0 owned after | $0.33 exercise price | 2009-10-21 | |
| 2009-07-01 | KENNEDY JOHN JED Director, Officer (President & COO) | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +700,000 437,500 owned after | $0.02 exercise price | 2009-09-02 | |
| 2009-04-30 | TUMBER WILLIAM T Director | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 150,000 owned after | $0.04 exercise price | 2009-05-26 | |
| 2009-04-30 | HUGHES J WINDER Director, 10% Owner | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 2,804,124 owned after | $0.04 exercise price | 2009-05-26 | |
| 2008-02-27 | KENNEDY JOHN JED Director, Officer (President & COO) | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +803,000 803,000 owned after | $0.33 exercise price | 2008-03-03 | |
| 2008-02-27 | KENNEDY JOHN JED Director, Officer (President & COO) | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +197,000 1,000,000 owned after | $0.33 exercise price | 2008-03-03 | |
| 2008-02-27 | MATHEWS ROBERT Officer (CFO & Executive VP) | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +553,000 553,000 owned after | $0.33 exercise price | 2008-03-03 | |
| 2008-02-27 | MATHEWS ROBERT Officer (CFO & Executive VP) | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +447,000 1,000,000 owned after | $0.33 exercise price | 2008-03-03 | |
| 2008-02-27 | TUMBER WILLIAM T Director | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $0.33 exercise price | 2008-02-29 | |
| 2008-02-27 | BOPP WILLIAM C Director, Officer (CEO), 10% Owner | 4 | Stock Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,100,000 2,100,000 owned after | $0.33 exercise price | 2008-02-29 | |
| 2007-11-28 holding as of filing | KENNEDY JOHN JED Director, Officer (President & COO) | 3 | Stock Options Derivative · Direct | Holding | $0.35 exercise price | 2007-11-28 | ||
| 2007-11-28 holding as of filing | KENNEDY JOHN JED Director, Officer (President & COO) | 3 | Stock Options Derivative · Direct | Holding | $0.50 exercise price | 2007-11-28 | ||
| 2007-11-28 holding as of filing | KENNEDY JOHN JED Director, Officer (President & COO) | 3 | Stock Options Derivative · Direct | Holding | $0.40 exercise price | 2007-11-28 | ||
| 2007-11-28 holding as of filing | KENNEDY JOHN JED Director, Officer (President & COO) | 3 | Stock Options Derivative · Direct | Holding | $0.35 exercise price | 2007-11-28 | ||
| 2007-07-15 | Conaton John Officer (VP Finance) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +450,000 450,000 owned after | $0.21 exercise price | 2007-07-17 | |
| 2007-07-15 | MATHEWS ROBERT 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) | +1,550,000 1,550,000 owned after | $0.21 exercise price | 2007-07-17 | |
| 2007-06-19 holding as of filing | Conaton John Officer (VP, Finance and CFO) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $0.25 exercise price | 2007-06-19 | ||
| 2007-06-19 holding as of filing | Conaton John Officer (VP, Finance and CFO) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $0.25 exercise price | 2007-06-19 | ||
| 2006-11-20 holding as of filing | MANYAK MICHAEL J Director | 3 | Stock Option Derivative · Direct | Holding | $0.20 exercise price | 2006-11-20 | ||
| 2006-10-30 holding as of filing | MILLER BRIAN M Director | 3/A | Stock Option Derivative · Direct · (m) | Holding | $0.29 exercise price | 2006-10-30 | ||
| 2006-10-10 holding as of filing | MILLER BRIAN M Director | 3 | stock option Derivative · Direct · (m) | Holding | $0.29 exercise price | 2006-10-10 | ||
| 2006-06-08 holding as of filing | Decker Gregory M Officer (CFO) | 3 | option to purchase common stock Derivative · Direct | Holding | $0.40 exercise price | 2006-06-08 | ||
| 2006-06-08 holding as of filing | Decker Gregory M Officer (CFO) | 3 | option to purchase common stock Derivative · Direct | Holding | $0.35 exercise price | 2006-06-08 | ||
| 2006-03-20 | MARSH THOMAS B Director, Officer (President) | 4 | option Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000,000 500,000 owned after | $0.02 exercise price | 2006-03-23 | |
| 2006-01-23 | Williams Lonna Jean Officer (Sr VP of Commercial Operations) | 4 | option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +130,000 910,000 owned after | $0.35 exercise price | 2006-08-04 | |
| 2006-01-23 | MARSH THOMAS B Director, Officer (President) | 4 | option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +180,000 1,500,000 owned after | $0.35 exercise price | 2006-03-23 | |
| 2006-01-23 | Williams Lonna Jean Officer (Sr VP of Commercial Operations) | 4 | option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +130,000 910,000 owned after | $0.35 exercise price | 2006-03-23 | |
| 2006-01-23 | WARRINO JOSEPH A Officer (CFO) | 4 | option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 426,000 owned after | $0.35 exercise price | 2006-03-23 | |
| 2005-10-10 | WARRINO JOSEPH A Officer (CFO) | 4 | option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 326,000 owned after | $0.40 exercise price | 2006-03-23 | |
| 2005-07-01 | Williams Lonna Jean Officer (Sr VP of Commercial Operations) | 4 | option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500,000 780,000 owned after | $0.40 exercise price | 2006-08-04 | |
| 2005-07-01 | Williams Lonna Jean Officer (Sr VP of Commercial Operations) | 4 | option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500,000 780,000 owned after | $0.40 exercise price | 2006-03-23 | |
| 2004-12-31 | Williams Lonna Jean Officer (Sr VP of Commercial Operations) | 4 | option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +130,000 280,000 owned after | $0.50 exercise price | 2006-08-04 | |
| 2004-12-31 | MARSH THOMAS B Director, Officer (President) | 4 | option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +320,000 1,320,000 owned after | $0.50 exercise price | 2006-03-23 | |
| 2004-12-31 | Williams Lonna Jean Officer (Sr VP of Commercial Operations) | 4 | option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +130,000 280,000 owned after | $0.50 exercise price | 2006-03-23 | |
| 2004-12-31 | WARRINO JOSEPH A Officer (CFO) | 4 | option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +46,000 126,000 owned after | $0.50 exercise price | 2006-03-23 | |
| 2004-08-02 | Williams Lonna Jean Officer (Sr VP of Commercial Operations) | 4 | option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $0.40 exercise price | 2006-08-04 | |
| 2004-08-02 | Williams Lonna Jean Officer (Sr VP of Commercial Operations) | 4 | option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $0.40 exercise price | 2006-03-23 | |
| 2004-04-23 | WARRINO JOSEPH A Officer (CFO) | 4 | option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,000 80,000 owned after | $0.35 exercise price | 2006-03-23 | |
| 2003-12-18 | MARSH THOMAS B Director, Officer (President) | 4 | option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,000,000 1,000,000 owned after | $0.02 exercise price | 2006-03-23 |