SEC Form 4 · accession 0001209191-15-064891
OMEGA PROTEIN CORP · OME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John D Held
Officer — Exec VP, General Counsel & Sec
Period of report
Aug 6, 2015
Accepted (ET)
Aug 10, 2015 · 4:18 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001053650
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 6, 2015 | M | 29,150 | $7.07 | A | 100,733 | D | |
| Common StockF1,F2,F3 | Aug 6, 2015 | S | 29,150 | $15.38 | D | 71,583 | D | |
| Common StockF1 | Aug 7, 2015 | M | 24,767 | $7.07 | A | 96,350 | D | |
| Common StockF1,F3,F4 | Aug 7, 2015 | S | 24,767 | $15.62 | D | 71,583 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to buy)F1,F5 | $7.07 | Aug 6, 2015 | M | 29,150 | D | Dec 1, 2011 | Dec 1, 2020 | Common Stock | 29,150 | 95,850 | D |
| Stock Option (Right to buy)F1,F5 | $7.07 | Aug 7, 2015 | M | 24,767 | D | Dec 1, 2011 | Dec 1, 2020 | Common Stock | 24,767 | 71,083 | D |
Explanation of responses
- F1Stock Option exercised and shares sold automatically pursuant to Trading Plan (SEC Rule 10b5-1)
- F2Value represents transactions with a weighted average sales price ranging from $15.30 to $15.47.
- F3Full information regarding the number of shares purchased or sold at each separate price will be provided by the filer to the Commission staff, the issuer, or a security holder of the issuer upon request.
- F4Value represents transactions with a weighted average sales price ranging from $15.47 to $15.75.
- F5Vests in 1/3 increments commencing on the first anniversary of date of grant. The date of grant was 12/01/10.