Filing Details
- Accession Number:
- 0001250617-10-000055
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-07-27 13:00:00
- Reporting Period:
- 2010-07-23
- Filing Date:
- 2010-07-27
- Accepted Time:
- 2010-07-27 10:24:12
- 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 |
|---|---|---|---|---|---|---|---|
| 1257221 | G Lawrence Howanitz | 8031 Avonia Road Fairview PA 16415 | Vice-President | 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 | 2010-07-23 | 30,000 | $6.31 | 30,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-07-23 | 30,000 | $15.39 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Options | Disposition | 2010-07-23 | 30,000 | $0.00 | 30,000 | $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 | 400 | Indirect | Spouse & Child |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Options | $9.30 | 2012-12-03 | 7,500 | 7,500 | Direct | |
| Common Stock | Options | $5.75 | 2014-01-07 | 21,000 | 21,000 | Direct | |
| Common Stock | Options | $12.72 | 2015-06-01 | 10,200 | 10,200 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2012-12-03 | 7,500 | 7,500 | Direct |
| 2014-01-07 | 21,000 | 21,000 | Direct |
| 2015-06-01 | 10,200 | 10,200 | Direct |
Footnotes
- All of the options are currently exercisable.
- 1/3rd of the options are exercisable 12/3/2009, 1/3rd are exercisable on 12/3/2010, and the final 1/3rd are exercisable on 12/3/2011.
- 1/3rd of the options are exercisable 1/7/2011, 1/3rd are exercisable on 1/7/2012, and the final 1/3rd are exercisable on 1/7/2013.
- 1/3rd of the options are exercisable 6/1/2012, 1/3rd are exercisable on 6/1/2013, and the final 1/3rd are exercisable on 6/1/2014.
- All are granted under the Spectrum Contol, Inc. Employee Stock Option Plan which is a Rule 16b-3 Plan.
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