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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Options | $ 8.38 | (1) | 04/10/2013 | Common Stock | 12,000 | 12,000 | D | ||||||||
Options | $ 6.43 | (2) | 04/09/2014 | Common Stock | 12,000 | 12,000 | D | ||||||||
Options | $ 13.91 | (3) | 04/15/2015 | Common Stock | 6,000 | 6,000 | D | ||||||||
Options | $ 19.71 | 04/07/2011 | A | 6,000 | (4) | 04/07/2016 | Common Stock | 6,000 | (5) | 6,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
RYAN GERALD A 639 GOLFSHORE BLVD., N. NAPLES, FL 34102 |
X |
John P. Leemhuis, Jr. Attorney in fact for Gerald A. Ryan | 04/12/2011 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | 2/3rds of the options are currently exercisable and the remaining 1/3rd are exercisable on 4/10/2012. |
(2) | 1/3rd of the options are exercisable 4/9/2011, 1/3rd are exercisable 4/9/2012 and the remaining 1/3rd are exercisable on 4/9/2013. |
(3) | 1/3rd of the options are exercisable 4/15/2012, 1/3rd are exercisable 4/15/2013 and the remaining 1/3rd are exercisable on 4/15/2014. |
(4) | 1/3rd of the options are exercisable 4/7/2013, 1/3rd are exercisable 4/7/2014 and the remaining 1/3rd are exercisable on 4/7/2015. |
(5) | All of the options were granted under the Spectrum Control, Inc. 1996 Non-Employee Directors' Stock Option Plan which is a Rule 16(b)(3) Plan. |
Remarks: All of the options were granted under the Spectrum Control, Inc. 1996 Non-Employee Directors' Stock Option Plan which is a Rule 16(b)(3) Plan. |