SEC Form 4 · accession 0001209191-16-141135
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
Sep 12, 2016
Accepted (ET)
Sep 13, 2016 · 4:10 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 | Sep 12, 2016 | M | 75,000 | $7.07 | A | 149,891 | D | |
| Common StockF1,F2,F3 | Sep 12, 2016 | S | 75,000 | $25.12 | D | 74,891 | 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 | Sep 12, 2016 | M | 75,000 | D | Dec 1, 2011 | Dec 1, 2020 | Common Stock | 75,000 | 0 | 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 $24.89 to $25.51.
- 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.