Filing Details
- Accession Number:
- 0001235802-11-000184
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-08 16:53:22
- Reporting Period:
- 2011-11-04
- Filing Date:
- 2011-11-08
- Accepted Time:
- 2011-11-08 16:53:22
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 67279 | Mocon Inc | MOCO | Measuring & Controlling Devices, Nec (3829) | 410903312 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1456530 | E Robert Forsberg | C/O Baseline-Mocon Inc. 19661 Highway 36 Lyons CO 80540 | President, Baseline-Mocon, Inc | 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 | 2011-11-04 | 5,000 | $8.08 | 5,200 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-11-04 | 2,000 | $9.18 | 7,200 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-11-04 | 500 | $8.91 | 7,700 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-11-04 | 900 | $8.58 | 8,600 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-11-04 | 8,400 | $16.27 | 200 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-11-07 | 1,600 | $8.58 | 1,800 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2011-11-07 | 7,500 | $9.21 | 9,300 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-11-07 | 9,100 | $16.01 | 200 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| 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 | Employee Stock Option (right to buy) | Disposition | 2011-11-04 | 5,000 | $8.08 | 5,000 | $8.08 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2011-11-04 | 2,000 | $9.18 | 2,000 | $9.18 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2011-11-04 | 500 | $8.91 | 500 | $8.91 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2011-11-04 | 900 | $8.58 | 900 | $8.58 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2011-11-07 | 1,600 | $8.58 | 1,600 | $8.58 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2011-11-07 | 7,500 | $9.21 | 7,500 | $9.21 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2013-12-21 | No | 4 | M | Direct | |
| 0 | 2014-12-22 | No | 4 | M | Direct | |
| 1,500 | 2015-12-27 | No | 4 | M | Direct | |
| 4,100 | 2015-12-30 | No | 4 | M | Direct | |
| 2,500 | 2015-12-30 | No | 4 | M | Direct | |
| 0 | 2016-12-30 | No | 4 | M | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices between $15.72 and $16.60, inclusive. The reporting person will provide to the SEC Staff, MOCON, Inc. or any security holder of MOCON, Inc., upon request, full information regarding the number of shares sold at each separate price.
- This option has fully vested.
- 25% exercisable on each of December 31, 2009, 2010, 2011 and 2012.
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