SEC Form 4 · accession 0001209191-15-079293
OMEGA PROTEIN CORP · OME
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Edward Griffin
Officer — President - Animal Nutrition
Period of report
Nov 6, 2015
Accepted (ET)
Nov 10, 2015 · 4:12 pm EST
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 | Nov 6, 2015 | M | 535 | $7.07 | A | 86,130 | D | |
| Common StockF1 | Nov 6, 2015 | S | 535 | $21.50 | D | 85,595 | D | |
| Common StockF1 | Nov 9, 2015 | M | 19,904 | $7.07 | A | 105,499 | D | |
| Common StockF1,F2,F3 | Nov 9, 2015 | S | 19,904 | $21.60 | D | 85,595 | 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,F4 | $7.07 | Nov 6, 2015 | M | 535 | D | Dec 1, 2011 | Dec 1, 2020 | Common Stock | 535 | 124,465 | D |
| Stock Option (right to buy)F1,F4 | $7.07 | Nov 9, 2015 | M | 19,904 | D | Dec 1, 2011 | Dec 1, 2020 | Common Stock | 19,904 | 104,561 | 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 $21.50 to $21.90.
- 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.
- F4Vests in 1/3 increments commencing on the first anniversary of date of grant. The date of grant was 12/01/2010.