SEC Form 4 · accession 0001209191-16-148114
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
Nov 1, 2016
Accepted (ET)
Nov 3, 2016 · 2:39 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 | Nov 1, 2016 | P | 7,500 | $6.1548 | A | 904,509 | I | Shares held by Laitram, LLC |
| Common StockF3 | Nov 2, 2016 | P | 7,800 | $6.2479 | A | 912,309 | I | Shares held by Laitram, LLC |
| 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
- F1Open market purchase pursuant to a 10b5-1 trading plan adopted by the Reporting Person, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
- F2This transaction was executed in multiple trades at prices ranging from $5.95 to $6.30, 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 $6.05 to $6.35, 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
The Reporting Person disclaims beneficial ownership of all securities shown as indirectly owned by him.