SEC Form 4 · accession 0001209191-16-130268
ION GEOPHYSICAL CORP · IO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James M Lapeyre Jr.
Director
Period of report
Jun 16, 2016
Accepted (ET)
Jun 30, 2016 · 5:24 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000866609
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Jun 16, 2016 | P | 11,600 | $5.7741 | A | 592,909 | I | Shares held by Laitram, LLC |
| Common StockF3 | Jun 24, 2016 | P | 16,400 | $5.8694 | A | 609,309 | I | Shares held by Laitram, LLC |
| Common StockF4 | Jun 27, 2016 | P | 7,500 | $5.617 | A | 616,809 | I | Shares held by Laitram, LLC |
| Common StockF5 | Jun 28, 2016 | P | 6,000 | $5.6288 | A | 622,809 | I | Shares held by Laitram, LLC |
| Common StockF6 | Jun 29, 2016 | P | 2,600 | $5.7873 | A | 625,409 | I | Shares held by Laitram, LLC |
| Common StockF7 | Jun 30, 2016 | P | 1,900 | $5.8471 | A | 627,309 | D | |
| Common Stock | holding | — | — | — | 157,773 | D | ||
| Common Stock | holding | — | — | — | 699 | I | Co-Trustee for Children | |
| Common Stock | holding | — | — | — | 32,850 | I | Joint account with adult child (J) | |
| Common Stock | holding | — | — | — | 32,850 | I | Joint account with adult child (K) | |
| Common Stock | holding | — | — | — | 33,702 | I | Joint account with adult child (S) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The purchases reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 4, 2016.
- F2This transaction was executed in multiple trades at prices ranging from $5.53 to $6.00, inclusive. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.
- F3This transaction was executed in multiple trades at prices ranging from $5.72 to $6.00, inclusive. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.
- F4This transaction was executed in multiple trades at prices ranging from $5.51 to $5.83, inclusive. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.
- F5This transaction was executed in multiple trades at prices ranging from $5.46 to $5.96, inclusive. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.
- F6This transaction was executed in multiple trades at prices ranging from $5.68 to $5.83, inclusive. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.
- F7This transaction was executed in multiple trades at prices ranging from $5.68 to $5.96, inclusive. The price set forth above reflects the weighted-average price per share. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.
Remarks
(1) The reporting person disclaims beneficial ownership of all securities shown as indirectly owned by him.