Filing Details
- Accession Number:
- 0001181431-11-026824
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-05-03 18:09:35
- Reporting Period:
- 2011-05-01
- Filing Date:
- 2011-05-03
- Accepted Time:
- 2011-05-03 18:09:35
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
31347 | Echelon Corp | ELON | Computer Communications Equipment (3576) | 770203595 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1078519 | Kenneth M Oshman | 550 Meridian Ave San Jose CA 95126 | Executive Chairman | 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 | 2011-05-01 | 1,694 | $0.00 | 1,694 | No | 4 | M | Direct | |
Common Stock | Disposition | 2011-05-01 | 621 | $9.37 | 1,073 | No | 4 | F | Direct | |
Common Stock | Disposition | 2011-05-02 | 1,073 | $0.00 | 0 | No | 5 | G | Direct | |
Common Stock | Acquisiton | 2011-05-02 | 1,073 | $0.00 | 1,831,209 | No | 5 | G | Indirect | See footnote |
Common Stock | Disposition | 2011-05-03 | 1,073 | $8.95 | 1,830,136 | No | 4 | S | Indirect | See footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | F | Direct | |
No | 5 | G | Direct | |
No | 5 | G | Indirect | See footnote |
No | 4 | S | Indirect | See footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Performance Shares | Disposition | 2011-05-01 | 1,694 | $0.00 | 1,694 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
35,570 | 2013-03-01 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 210,492 | Indirect | See footnote |
Common Stock | 210,492 | Indirect | See footnote |
Common Stock | 89,508 | Indirect | See footnote |
Common Stock | 89,508 | Indirect | See footnote |
Common Stock | 98,107 | Indirect | See footnote |
Common Stock | 98,107 | Indirect | See footnote |
Common Stock | 268,638 | Indirect | See footnote |
Common Stock | 268,638 | Indirect | See footnote |
Common Stock | 488,428 | Indirect | See footnote |
Footnotes
- These shares are held by the Oshman Trust dated July 10, 1979 (the "Oshman Living Trust"), of which the Reporting Person and his spouse, Barbara S. Oshman, serve as co-trustees.
- These shares are held by the M. Kenneth Oshman 2010A Annuity Trust dated August 18, 2010.
- These shares are held by the Barbara S. Oshman 2010A Annuity Trust dated August 18, 2010.
- These shares are held by the M. Kenneth Oshman 2009A Annuity Trust dated August 4, 2009.
- These shares are held by the Barbara S. Oshman 2009A Annuity Trust dated August 4, 2009.
- These shares are held by the M. Kenneth Oshman 2010 Annuity Trust dated February 23, 2010.
- These shares are held by the Barbara S. Oshman 2010 Annuity Trust dated February 23, 2010.
- These shares are held by O-S Ventures, a general partnership, of which M. Kenneth Oshman is general partner.
- These shares are held by the M. Kenneth Oshman 2011 Annuity Trust #1 dated February 25, 2011.
- These shares are held by the Barbara S. Oshman 2011 Annuity Trust #1 dated February 25, 2011.
- Each performance share represents the right to receive one share of the Issuer's Common Stock.
- This trade was executed pursuant to a Rule 10b5-1 trading plan adopted on March 7, 2011.
- 1,694 of the 40,651 shares granted to M. Kenneth Oshman under the Issuer's 1997 Stock Plan were vested and released to M. Kenneth Oshman effective May 1, 2011. Such 40,651 share grant vests at the following rate: 1/24th of such shares on March 1, 2011 and on each one-month anniversary thereafter.