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MOD PAC CORP·4

Oct 2, 1:03 PM ET

MOD PAC CORP 4

4 · MOD PAC CORP · Filed Oct 2, 2013

Insider Transaction Report

Form 4
Period: 2013-09-30
MOD PAC CORPMPAC
KEANE KEVIN T
DirectorChairman10% Owner
Transactions
  • Disposition to Issuer

    Option

    2013-09-30−28,000→ 0 total(indirect: See footnote)
    Exercise: $8.44From: 2004-08-20Exp: 2014-02-20→ $.01 PV Com Stk (28,000 underlying)
  • Disposition to Issuer

    Option

    2013-09-30−22,300→ 0 total(indirect: See footnote)
    Exercise: $11.68From: 2006-06-21Exp: 2015-12-21→ $.01 PV Com Stk (22,300 underlying)
  • Award

    $.01 Par Value Common Stock

    2013-09-30+100→ 100 total(indirect: By corporation controlled by Reporting Persons)
  • Disposition to Issuer

    Option

    2013-09-30−4,000→ 0 total
    Exercise: $11.68From: 2006-06-21Exp: 2015-12-21→ $.01 PV Com Stk (4,000 underlying)
  • Disposition to Issuer

    Option

    2013-09-30−4,000→ 0 total
    Exercise: $5.62From: 2008-08-27Exp: 2018-02-27→ $.01 PV Com Stk (4,000 underlying)
  • Disposition to Issuer

    Option

    2013-09-30−25,000→ 0 total(indirect: See footnote)
    Exercise: $4.65From: 2010-06-21Exp: 2010-12-21→ $.01 PV Com Stk (25,000 underlying)
  • Disposition to Issuer

    Option

    2013-09-30−7,500→ 0 total
    Exercise: $1.68From: 2009-08-25Exp: 2019-02-25→ $.01 PV Com Stk (7,500 underlying)
  • Disposition to Issuer

    Option

    2013-09-30−5,000→ 0 total
    Exercise: $6.03From: 2010-08-22Exp: 2020-02-22→ $.01 PV Com Stk (5,000 underlying)
  • Disposition to Issuer

    Option

    2013-09-30−14,000→ 0 total
    Exercise: $12.80From: 2005-07-06Exp: 2015-01-06→ $.01 PV Com Stk (14,000 underlying)
  • Disposition to Issuer

    Option

    2013-09-30−4,000→ 0 total
    Exercise: $10.00From: 2007-06-13Exp: 2016-12-13→ $.01 PV Com Stk (4,000 underlying)
  • Disposition to Issuer

    Option

    2013-09-30−5,000→ 0 total
    Exercise: $4.86From: 2011-09-09Exp: 2021-03-09→ $.01 PV Com Stk (5,000 underlying)
  • Disposition to Issuer

    Option

    2013-09-30−2,500→ 0 total
    Exercise: $5.90From: 2012-06-02Exp: 2021-12-02→ $.01 PV Com Stk (2,500 underlying)
  • Disposition to Issuer

    Option

    2013-09-30−26,000→ 0 total(indirect: See footnote)
    Exercise: $7.36From: 2008-06-20Exp: 2017-12-20→ $.01 PV Com Stk (26,000 underlying)
  • Disposition to Issuer

    Option

    2013-09-30−18,750→ 0 total
    Exercise: $8.44From: 2004-08-20Exp: 2014-02-20→ $.01 PV Com Stk (18,750 underlying)
  • Disposition to Issuer

    Option

    2013-09-30−22,300→ 0 total(indirect: See footnote)
    Exercise: $12.80From: 2005-07-06Exp: 2015-01-06→ $.01 PV Com Stk (22,300 underlying)
  • Disposition to Issuer

    Option

    2013-09-30−22,300→ 0 total(indirect: See footnote)
    Exercise: $10.00From: 2007-06-13Exp: 2016-12-31→ $.01 PV Com Stk (22,300 underlying)
  • Disposition to Issuer

    Option

    2013-09-30−25,000→ 0 total(indirect: See footnote)
    Exercise: $4.37From: 2010-05-16Exp: 2019-12-16→ $.01 PV Com Stk (25,000 underlying)
  • Disposition to Issuer

    Option

    2013-09-30−40,000→ 0 total(indirect: See footnote)
    Exercise: $1.85From: 2009-06-15Exp: 2018-12-15→ $.01 PV Com Stk (40,000 underlying)
  • Disposition to Issuer

    Option

    2013-09-30−12,500→ 0 total(indirect: See footnote)
    Exercise: $5.90From: 2012-06-02Exp: 2021-12-02→ $.01 PV Com Stk (12,500 underlying)
Footnotes (4)
  • [F1]As disclosed in Amendment No. 6 to the Schedule 13D filed by the Reporting Persons on October 2, 2013, on September 30, 2013, the Company completed the merger pursuant to the terms of the Agreement and Plan of Merger dated as of April 11, 2013, by and among the Issuer, Rosalia Capital LLC, a Delaware limited liability Company ("Parent") and Mandan Acquisition Corp., as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of September 3, 2013 (the "Merger").
  • [F2](continued from footnote (1)) As a result of the Merger, the Company is now wholly owned by Parent. Parent is indirectly beneficially owned by the Reporting Persons. In connection with the Merger, (i) the Reporting Persons converted their respective Class B Common Stock, if any, into Common Stock at a 1:1 conversion ratio and, accordingly, no longer beneficially own any Class B Common Stock and (ii) all of the Reporting Persons' shares of Common Stock were contributed to Parent. 100 shares of Common Stock remain outstanding immediately after giving effect to the Merger, all of which are indirectly beneficially owned by the Reporting Persons.
  • [F3]The exercise price and the number of shares issuable upon exercise of the reported options reflect figures in effect immediately prior to the effective time of the Merger. Kevin T. Keane and Daniel G. Keane surrendered all their respective options to the Issuer without consideration.
  • [F4]By Daniel G. Keane. Each Reporting Person disclaims beneficial ownership of shares directly or indirectly held by another person.

Documents

1 file
  • 4
    p13-1799form4.xmlPrimary

    OWNERSHIP DOCUMENT