Filing Details
- Accession Number:
- 0001104659-10-013585
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-03-10 12:00:00
- Reporting Period:
- 2004-12-22
- Filing Date:
- 2010-03-10
- Accepted Time:
- 2010-03-10 21:30:01
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1108185 | Occam Networks Inc | OCNW | Computer Communications Equipment (3576) | 770442752 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1327486 | Greg Dion | 6868 Cortona Drive Santa Barbara CA 93117 | Vp Of Operations & It | No | Yes | 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 | Acquisiton | 2006-02-02 | 4,168 | $0.00 | 4,168 | No | 4 | M | Indirect | Dion Family Trust |
Common Stock | Acquisiton | 2004-12-22 | 92 | $3.70 | 4,260 | No | 4 | P | Indirect | Dion Family Trust |
Common Stock | Acquisiton | 2004-12-23 | 300 | $3.70 | 4,560 | No | 4 | P | Indirect | Dion Family Trust |
Common Stock | Acquisiton | 2004-12-27 | 893 | $3.70 | 5,453 | No | 4 | P | Indirect | Dion Family Trust |
Common Stock | Acquisiton | 2004-12-28 | 1,215 | $3.70 | 6,668 | No | 4 | P | Indirect | Dion Family Trust |
Common Stock | Acquisiton | 2005-01-25 | 625 | $3.78 | 7,293 | No | 4 | P | Indirect | Dion Family Trust |
Common Stock | Acquisiton | 2005-01-26 | 1,875 | $3.78 | 9,168 | No | 4 | P | Indirect | Dion Family Trust |
Common Stock | Disposition | 2010-03-08 | 8,968 | $7.20 | 200 | No | 4 | S | Indirect | Dion Family Trust |
Common Stock | Disposition | 2010-03-08 | 200 | $7.23 | 0 | No | 4 | S | Indirect | Dion Family Trust |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Indirect | Dion Family Trust |
No | 4 | P | Indirect | Dion Family Trust |
No | 4 | P | Indirect | Dion Family Trust |
No | 4 | P | Indirect | Dion Family Trust |
No | 4 | P | Indirect | Dion Family Trust |
No | 4 | P | Indirect | Dion Family Trust |
No | 4 | P | Indirect | Dion Family Trust |
No | 4 | S | Indirect | Dion Family Trust |
No | 4 | S | Indirect | Dion Family Trust |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Subscription Rights (Right to buy) | Disposition | 2006-02-02 | 4,168 | $0.00 | 4,168 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2005-12-30 | 2006-02-02 | No | 4 | M | Indirect |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 10,875 | Direct |
Footnotes
- The company distributed to the holders of its common stock non-transferable subscription rights to purchase shares of its Series A-2 convertible preferred stock at a cash subscription price of $10.00 per share. Each share of Series A-2 convertible preferred stock was convertible into shares of Occam Networks, Inc.'s common stock at a conversion price of $0.11, resulting in approximately 90.9 shares of common stock being issued upon conversion of one share of Series A-2 convertible preferred stock. Mr. Dion acquired 1,834 shares of Series A-2 convertible preferred stock at $10.00 per share. The Series A-2 convertible preferred stock was converted into 166,727 shares of common stock (pre-split). On March 10, 2006, Occam Networks, Inc., effected a 1-for-40 stock split. Upon the 1-for-40 stock split, the 166,727 shares of common stock became 4,168 shares of common stock (post-split).