Filing Details
- Accession Number:
- 0000094056-10-000008
- Form Type:
- 5
- Zero Holdings:
- No
- Publication Time:
- 2010-02-17 12:00:00
- Reporting Period:
- 2009-12-31
- Filing Date:
- 2010-02-17
- Accepted Time:
- 2010-02-17 10:32:37
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
94056 | Stephan Co | TSC | Perfumes, Cosmetics & Other Toilet Preparations (2844) | 590676812 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1014424 | A Richard Barone | One Chagrin Highlands 2000 Auburn Drive Suite 300 Cleveland OH 44122 | 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 |
---|---|---|---|---|---|---|---|---|---|---|
Shares Of Common Stock | Disposition | 2009-12-08 | 10,000 | $2.70 | 0 | No | 4 | S | Indirect | By Ancora Partners, LLC |
Shares Of Common Stock | Acquisiton | 2009-12-08 | 10,000 | $2.70 | 50,000 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | By Ancora Partners, LLC |
No | 4 | P | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Options to Buy | Acquisiton | 2007-06-30 | 5,062 | $3.80 | 5,062 | $3.80 |
Common Stock | Options to Buy | Acquisiton | 2008-06-30 | 5,062 | $3.18 | 5,062 | $3.18 |
Common Stock | Options to Buy | Acquisiton | 2009-06-30 | 5,062 | $2.40 | 5,062 | $2.40 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
15,186 | 2008-06-30 | 2012-06-30 | No | 5 | A | Direct |
20,248 | 2009-06-30 | 2013-06-30 | No | 5 | A | Direct |
5,062 | 2010-06-30 | 2014-06-30 | No | 5 | A | Indirect |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Shares Of Common Stock | 107,601 | Indirect | By Merlin Partners, LP |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Options to Buy | $3.99 | 2006-09-29 | 2010-09-29 | 5,062 | 5,062 | Direct |
Common Stock | Options to Buy | $3.15 | 2007-06-30 | 2011-06-30 | 5,062 | 10,124 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2010-09-29 | 5,062 | 5,062 | Direct |
2011-06-30 | 5,062 | 10,124 | Direct |
Footnotes
- Mr. Barone is the majority owner of Ancora Advisors, LLC, which is General Partner of Merlin Partners, LP. Further Mr. Barone is the Managing Partner of Ancora Partners, LLC, which is an affiliate of Ancora Advisors, LLC. Reported shares do not include shares held by accounts managed by Mr. Barone that are charged a management fee only. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.