Filing Details
- Accession Number:
- 0001250617-10-000085
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-11-02 14:07:51
- Reporting Period:
- 2010-10-29
- Filing Date:
- 2010-11-02
- Accepted Time:
- 2010-11-02 14:07:51
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 92769 | Spectrum Control Inc | SPEC | Electronic Components, Nec (3679) | 251196447 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1209852 | A Gerald Ryan | 639 Golfshore Blvd., N. Naples FL 34102 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2010-10-29 | 2,000 | $15.20 | 9,832 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2010-11-01 | 24,000 | $6.31 | 33,832 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-11-01 | 10,260 | $14.76 | 23,572 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Non-qualified Stock Options | Disposition | 2010-11-01 | 24,000 | $0.00 | 24,000 | $6.31 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2010-11-01 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 2,500 | Indirect | Trustee of Ryan Children's Trust |
| Common Stock | 43,000 | Indirect | held by IRA |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Options | $8.38 | 2013-04-10 | 12,000 | 12,000 | Direct | |
| Common Stock | Options | $6.43 | 2014-04-09 | 12,000 | 12,000 | Direct | |
| Common Stock | Options | $13.91 | 2015-04-15 | 6,000 | 6,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2013-04-10 | 12,000 | 12,000 | Direct |
| 2014-04-09 | 12,000 | 12,000 | Direct |
| 2015-04-15 | 6,000 | 6,000 | Direct |
Footnotes
- All of the options are currently exercisable.
- 1/3rd of the options are currently exercisable, 1/3rd are exercisable 4/10/2011 and the remaining 1/3rd are exercisable on 4/10/2012.
- 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.
- 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.
- 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.
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