Filing Details
- Accession Number:
- 0001181431-14-021120
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-05-23 16:35:19
- Reporting Period:
- 2014-05-21
- Filing Date:
- 2014-05-23
- Accepted Time:
- 2014-05-23 16:35:19
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1085621 | Icg Group Inc. | ICGE | Services-Management Consulting Services (8742) | 232996071 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1353939 | Kirk Raymond Morgan | C/O Icg Group, Inc. 555 E. Lancaster Avenue, Suite 640 Radnor PA 19087 | Chief Financial Officer | 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, Par Value $.001 Per Share | Disposition | 2014-05-21 | 5,000 | $18.03 | 255,805 | No | 4 | S | Direct | |
| Common Stock,Par Value $.001 Per Share | Acquisiton | 2014-05-21 | 9,688 | $6.70 | 265,493 | No | 4 | M | Direct | |
| Common Stock, Par Value $.001 Per Share | Disposition | 2014-05-21 | 5,472 | $18.49 | 260,021 | No | 4 | F | Direct | |
| Common Stock, Par Value $.001 Per Share | Disposition | 2014-05-22 | 9,000 | $18.84 | 251,021 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $.001 Per Share | Stock Appreciation Rights | Disposition | 2014-05-21 | 9,688 | $0.00 | 9,688 | $6.70 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2010-01-11 | 2020-01-11 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock, Par Value $.001 Per Share | 4,231 | Indirect | Held by IRA |
| Common Stock, Par Value $.001 Per Share | 15,831 | Indirect | Held by 401(k) Plan |
Footnotes
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 20, 2013.
- This column reflects the weighted average sales price for multiple transactions reported for May 21, 2014. Actual sales prices for these transactions ranged from $17.77 to $18.22, inclusive. Mr. Morgan undertakes to provide to ICG Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full infomration regarding the number of shares sold at each separate price within the range.
- This amount reflects 3,511 shares withheld by Issuer to pay exercise price and 1,961 shares withheld by Issuer to satisfy minimum legally required tax withholding obligation.
- This column reflects the weighted average sales price for multiple transactions reported for May 22, 2014. Actual sales prices for these transactions ranged from $18.66 to $18.93, inclusive. Mr. Morgan undertakes to provide to ICG Group, Inc., or the staff of the Securities and Exchange Commission, upon request, full infomration regarding the number of shares sold at each separate price within the
- Stock Appreciation Right, which was granted on January 1, 2010, vested 25% on January 11, 2010 and 1/48 monthly during the 36-month period thereafter.
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