SEC Form 4 · accession 0001225208-15-018640
SPECTRUM MANAGEMENT HOLDING COMPANY, LLC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert D Marcus
Officer — Chairman & CEO · Director
Period of report
Sep 21, 2015
Accepted (ET)
Sep 22, 2015 · 4:15 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001377013
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $.01 per share | Sep 21, 2015 | M | 6,636 | $86.76 | A | 85,466 | D | |
| Common Stock, par value $.01 per share | Sep 21, 2015 | M | 3,364 | $77.04 | A | 88,830 | D | |
| Common Stock, par value $.01 per share | Sep 21, 2015 | S | 10,000 | $189.39 | D | 78,830 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F2 | $86.76 | Sep 21, 2015 | M | 6,636 | D | — | Feb 12, 2023 | Common Stock, par value $.01 per share | 6,636 | 126,107 | D |
| Employee Stock Option (Right to Buy)F3 | $77.04 | Sep 21, 2015 | M | 3,364 | D | — | Feb 15, 2022 | Common Stock, par value $.01 per share | 3,364 | 40,566 | D |
Explanation of responses
- F1This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 28, 2015.
- F2This option is exercisable in increments of 25% on the first four anniversaries of the date of grant, February 13, 2013.
- F3This option is exercisable in increments of 25% on the first four anniversaries of the date of grant, February 16, 2012.