Filing Details
- Accession Number:
- 0001140361-14-041126
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-11-12 09:25:24
- Reporting Period:
- 2014-11-07
- Filing Date:
- 2014-11-12
- Accepted Time:
- 2014-11-12 09:25:24
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1054102 | Pdi Inc | PDII | Services-Business Services, Nec (7389) | 222919486 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1450485 | Nancy Lurker | C/O Pdi Inc., Morris Corporate Center 1, Building A, 300 Interpace Parkway Parsippany NJ 07054 | Ceo | Yes | 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 | 2014-11-07 | 33,000 | $1.77 | 517,317 | No | 4 | P | Indirect | By Spouse |
| Common Stock | Acquisiton | 2014-11-10 | 16,000 | $1.69 | 533,317 | No | 4 | P | Indirect | By Spouse |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By Spouse |
| No | 4 | P | Indirect | By Spouse |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 427,317 | Direct | |
| Common Stock | 55,000 | Indirect | by IRA |
| Common Stock | 1,000 | Indirect | By Self as Custodian for Daughters |
| Common Stock | 1,000 | Indirect | By Spouse |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Appreciation Rights | $5.03 | 2015-03-01 | 58,902 | 58,902 | Direct | |
| Common Stock | Stock Appreciation Rights | $6.41 | 2017-01-31 | 111,684 | 170,586 | Direct | |
| Common Stock | Stock Appreciation Rights | $5.44 | 2018-04-04 | 141,700 | 312,286 | Direct | |
| Common Stock | Stock Appreciation Rights | $5.10 | 2019-02-26 | 177,665 | 489,951 | Direct | |
| Common Stock | Stock Appreciation Rights | $5.10 | 2019-02-26 | 188,165 | 678,116 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2015-03-01 | 58,902 | 58,902 | Direct |
| 2017-01-31 | 111,684 | 170,586 | Direct |
| 2018-04-04 | 141,700 | 312,286 | Direct |
| 2019-02-26 | 177,665 | 489,951 | Direct |
| 2019-02-26 | 188,165 | 678,116 | Direct |
Footnotes
- Includes 50,702 restricted shares of common stock that vest on January 31, 2015, 51,320 restricted shares of common stock that vest on April 4, 2016, and 63,177 restricted shares of common stock that vest on February 26, 2017.
- Open-market purchase
- Currently exercisable.
- Stock appreciation rights that are currently two-thirds vested and the remaining one-third vest on 1/31/15.
- Stock appreciation rights that vest one-third on each of 4/4/14, 4/4/15, and 4/4/16.
- Stock appreciation rights that vest one-third on each of 2/26/15, 2/26/16, and 2/26/17.
- Performance contingent stock appreciation rights ("SARs"). The SARs vest 36,496 on 2/26/15, 64,460 on 2/26/16, and 87,209 on 2/27/17. The SARs are only exercisable if the performance conditions are met.
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