WILLAMETTE VALLEY VINEYARDS, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 51 rows, 51 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-02-28: Reporting owner BERNAU JAMES W; Form 4; Security Stock Option; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2016-06-22: Reporting owner BERNAU JAMES W; Form 4; Security Stock Option; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2016-03-21: Reporting owner BERNAU JAMES W; Form 4; Security Stock Option; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2016-02-04: Reporting owner BERNAU JAMES W; Form 4; Security Stock Option; Transaction X Exercise of in-the-money or at-the-money derivative security.
WVVI insiders transactions against the stock price
Blue: Split-adjusted close · Orange: Cumulative dividend-reinvested close
Logarithmic scale. Both lines share the same starting value for the selected range.
Markers: each transaction type positioned at that session's split-adjusted close. Tooltips retain the reported transaction price when available.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-02-28 | BERNAU JAMES W Director, Officer (Chief Executive Officer), 10% Owner | 4 | Stock Option Derivative · Indirect · Held By Spouse | X Exercise of in-the-money or at-the-money derivative security | −6,000 0 owned after | $3.09 | $7.86 | 2017-03-01 |
| 2016-06-22 | BERNAU JAMES W Director, Officer (Chief Executive Officer), 10% Owner | 4 | Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −19,157 0 owned after | $3.24 | $8.53 | 2016-06-23 |
| 2016-03-21 | BERNAU JAMES W Director, Officer (Chief Executive Officer), 10% Owner | 4 | Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −30,843 19,157 owned after | $3.24 | $6.93 | 2016-03-22 |
| 2016-02-04 | BERNAU JAMES W Director, Officer (Chief Executive Officer), 10% Owner | 4 | Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −2,000 50,000 owned after | $3.24 | $7.04 | 2016-02-05 |
| 2016-01-15 | BERNAU JAMES W Director, Officer (Chief Executive Officer), 10% Owner | 4 | Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −2,000 52,000 owned after | $3.24 | $6.91 | 2016-01-15 |
| 2016-01-14 | BERNAU JAMES W Director, Officer (Chief Executive Officer), 10% Owner | 4 | Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −2,000 54,000 owned after | $3.24 | $7.00 | 2016-01-15 |
| 2015-12-15 | BERNAU JAMES W Director, Officer (Chief Executive Officer), 10% Owner | 4 | Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −2,000 56,000 owned after | $3.24 | $7.24 | 2015-12-15 |
| 2015-12-09 | BERNAU JAMES W Director, Officer (Chief Executive Officer), 10% Owner | 4 | Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −2,000 58,000 owned after | $3.24 | $7.04 | 2015-12-09 |
| 2015-12-08 | Ellis James L Director | 4 | Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −14,000 0 owned after | $5.00 | $7.18 | 2015-12-09 |
| 2015-11-30 | TUREL STANLEY G Director | 4 | Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −12,000 0 owned after | $5.00 | $7.09 | 2015-12-01 |
| 2015-11-25 | BERNAU JAMES W Director, Officer (Chief Executive Officer), 10% Owner | 4 | Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −2,000 60,000 owned after | $3.24 | $7.08 | 2015-11-25 |
| 2015-10-29 | BERNAU JAMES W Director, Officer (Chief Executive Officer), 10% Owner | 4 | Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −4,000 62,000 owned after | $3.24 | $7.49 | 2015-10-29 |
| 2015-10-19 | BERNAU JAMES W Director, Officer (Chief Executive Officer), 10% Owner | 4 | Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −2,000 66,000 owned after | $3.24 | $6.73 | 2015-10-19 |
| 2015-10-06 | BERNAU JAMES W Director, Officer (Chief Executive Officer), 10% Owner | 4 | Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −2,000 68,000 owned after | $3.24 | $6.87 | 2015-10-06 |
| 2015-09-09 | BERNAU JAMES W Director, Officer (Chief Executive Officer), 10% Owner | 4 | Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −2,000 70,000 owned after | $3.24 | $6.94 | 2015-09-10 |
| 2015-08-25 | BERNAU JAMES W Director, Officer (Chief Executive Officer), 10% Owner | 4 | Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −2,000 72,000 owned after | $3.24 | $6.22 | 2015-08-25 |
| 2015-08-12 | BERNAU JAMES W Director, Officer (Chief Executive Officer), 10% Owner | 4 | Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +2,000 74,000 owned after | $3.24 | $7.12 | 2015-08-12 |
| 2015-07-27 | BERNAU JAMES W Director, Officer (Chief Executive Officer), 10% Owner | 4 | Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +2,000 76,000 owned after | $3.24 | $7.16 | 2015-07-29 |
| 2015-07-27 | Ellis James L Director | 4 | Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −37,000 14,000 owned after | $3.76 | $7.16 | 2015-07-28 |
| 2015-07-14 | Ellis James L Director | 4 | Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −5,000 51,000 owned after | $3.76 | $7.00 | 2015-07-15 |
| 2015-07-08 | BERNAU JAMES W Director, Officer (Chief Executive Officer), 10% Owner | 4 | Stock Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +2,000 78,000 owned after | $3.24 | $6.89 | 2015-07-09 |
| 2015-06-25 | O BRIEN BETTY M Director | 4 | Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −4,000 14,000 owned after | $3.76 | $6.98 | 2015-06-29 |
| 2015-06-25 | O BRIEN BETTY M Director | 4 | Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −14,000 0 owned after | $5.00 | $6.98 | 2015-06-29 |
| 2015-04-02 | Ellis James L Director | 4 | Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −4,000 56,000 owned after | $3.76 | $6.15 | 2015-04-02 |
| 2015-02-10 | Ellis James L Director | 4 | Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −4,000 60,000 owned after | $3.76 | $5.85 | 2015-02-11 |
| 2015-01-20 | Ellis James L Director | 4 | Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −4,000 64,000 owned after | $3.76 | $5.89 | 2015-01-20 |
| 2014-12-16 | O BRIEN BETTY M Director | 4 | Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +4,000 18,000 owned after | $2.99 | $5.73 | 2014-12-18 |
| 2014-11-18 | Ellis James L Director | 4 | Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −3,458 68,000 owned after | $2.99 | $5.82 | 2014-11-19 |
| 2014-10-08 | Ellis James L Director | 4 | Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −42 71,458 owned after | $2.99 | $5.52 | 2014-10-09 |
| 2014-10-07 | JONES DELNA L. Director | 4 | Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −14,000 0 owned after | $5.00 | $5.51 | 2014-10-09 |
| 2014-10-07 | Ellis James L Director | 4 | Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −500 71,500 owned after | $2.99 | $5.51 | 2014-10-09 |
| 2013-10-10 | JONES DELNA L. Director | 4 | Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −4,000 22,000 owned after | $2.31 | $5.36 | 2013-11-27 |
| 2013-10-10 | JONES DELNA L. Director | 4 | Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −4,000 18,000 owned after | $2.99 | $5.36 | 2013-11-27 |
| 2013-10-10 | JONES DELNA L. Director | 4 | Option Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −4,000 14,000 owned after | $3.76 | $5.36 | 2013-11-27 |
| 2010-07-28 | O BRIEN BETTY M Director | 4 | OPTION Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −4,000 34,000 owned after | $1.56 | $3.60 | 2010-08-06 |
| 2009-02-05 | O BRIEN BETTY M Director | 4 | OPTION Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −1,500 30,000 owned after | $1.81 | $2.49 | 2009-02-12 |
| 2008-01-10 | O BRIEN BETTY M Director | 4 | OPTION Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +1,500 5,500 owned after | $1.50 | $5.86 | 2008-01-16 |
| 2006-06-27 | Ellis James L Director, Officer (VICE-PRESIDENT) | 4 | OPTION Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −25,000 81,500 owned after | $1.75 | $8.43 | 2006-06-30 |
| 2006-06-27 | Ellis James L Director, Officer (VICE-PRESIDENT) | 4 | OPTION Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −1,500 80,000 owned after | $1.50 | $8.43 | 2006-06-30 |
| 2006-06-27 | Ellis James L Director, Officer (VICE-PRESIDENT) | 4 | OPTION Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −4,000 76,000 owned after | $1.56 | $8.43 | 2006-06-30 |
| 2006-06-26 | CARY SEAN M Officer (CONTROLLER) | 4 | OPTIONS Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −20,000 0 owned after | $1.56 | $9.17 | 2006-06-26 |
| 2006-06-19 | CARY SEAN M Officer (Controller) | 4 | OPTION Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −10,000 20,000 owned after | $1.56 | $7.90 | 2006-06-22 |
| 2006-02-22 | BERNAU JAMES W Director, Officer (PRESIDENT), 10% Owner | 4 | OPTION Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −4,000 143,000 owned after | $3.29 | $6.88 | 2006-02-23 |
| 2006-01-20 | TUREL STANLEY G Director | 4 | OPTION Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −1,000 19,000 owned after | $3.00 | $5.69 | 2006-02-02 |
| 2006-01-20 | TUREL STANLEY G Director | 4 | OPTION Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −1,500 17,500 owned after | $1.50 | $5.69 | 2006-02-02 |
| 2006-01-20 | TUREL STANLEY G Director | 4 | OPTION Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −1,500 16,000 owned after | $1.81 | $5.69 | 2006-02-02 |
| 2006-01-20 | TUREL STANLEY G Director | 4 | OPTION Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −4,000 12,000 owned after | $1.56 | $5.69 | 2006-02-02 |
| 2005-12-27 | MATICH LISA M Director | 4 | OPTION Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,000 26,000 owned after | $5.00 | $5.00 | 2006-03-31 |
| 2005-12-27 | Ellis James L Director, Officer (VICE-PRESIDENT) | 4 | OPTION Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,000 106,500 owned after | $5.00 | $5.00 | 2006-03-31 |
| 2005-12-27 | TUREL STANLEY G Director | 4 | OPTION Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,000 26,000 owned after | $5.00 | $5.00 | 2006-03-31 |
| 2005-12-27 | BERNAU JAMES W Director, Officer (PRESIDENT), 10% Owner | 4 | OPTION Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +64,000 147,000 owned after | $5.50 | $5.00 | 2006-02-23 |
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