ICO INC|4Apr 21, 4:04 PM ET

ICO INC 4

4 · ICO INC · Filed Apr 21, 2010

Insider Transaction Report

Form 4

Period: 2010-04-19

ICO INCICOC

KNAPP A JOHN JR

DirectorPresident & CEO

Transactions

Exercise/Conversion
Common Stock
2010-04-19$2.40/sh+40,000$96,000→ 321,015 total
Exercise/Conversion
Common Stock
2010-04-19$2.32/sh+5,000$11,600→ 281,015 total
Exercise/Conversion
Common Stock
2010-04-19$1.35/sh+5,000$6,750→ 271,015 total
Exercise/Conversion
Non-employee Director Stock Option (Right to Buy)
2010-04-19+5,000→ 0 total
Exercise: $1.35From: 2002-09-19Exp: 2012-03-18→ Common Stock (5,000 underlying)
Exercise/Conversion
Common Stock
2010-04-19$1.20/sh+5,000$5,975→ 276,015 total
Exercise/Conversion
Non-employee Director Stock Option (Right to Buy)
2010-04-19+5,000→ 0 total
Exercise: $2.32From: 2004-09-09Exp: 2014-03-08→ Common Stock (5,000 underlying)
Exercise/Conversion
Common Stock
2010-04-19$2.05/sh+5,000$10,250→ 266,015 total
Exercise/Conversion
Non-employee Director Stock Option (Right to Buy)
2010-04-19+5,000→ 0 total
Exercise: $2.05From: 2001-11-04Exp: 2011-05-03→ Common Stock (5,000 underlying)
Exercise/Conversion
Non-employee Director Stock Option (Right to Buy)
2010-04-19+5,000→ 0 total
Exercise: $1.20From: 2003-09-04Exp: 2013-03-03→ Common Stock (5,000 underlying)
Exercise/Conversion
Employee Stock Option (Right to Buy)
2010-04-19+40,000→ 80,000 total
Exercise: $2.40From: 2006-12-15Exp: 2012-11-18→ Common Stock (40,000 underlying)

Holdings

Common Stock (SEP-IRA)
(indirect: By IRA)
513,643
Common Stock1
(indirect: By Trust)
50,000
Common Stock
(indirect: Andover Group, Inc.)
278,655
Common Stock 401(k)
(indirect: By 401(k))
2,680
Common Stock
(indirect: By Foundation)
10,000
Common Stock
(indirect: By Spouse)
10,000
Common Stock
(indirect: Andover Real Estate Services, Inc.)
39,500

Footnotes (6)

[F1]The total includes 77,539 restricted shares of issuer's common stock issued pursuant to the Second Amended and Restated ICO, Inc. 2007 Equity Incentive Plan. All of these restricted shares will vest on May 11, 2010 subject to forfeiture prior to vesting in accordance with the terms of the Restricted Stock Agreement pursuant to which such restricted shares were awarded.
[F2]The number of shares listed represents the reporting person's interest in equivalent shares held by the unitized stock fund in the issuer's 401(k) savings plan ("Plan"). The unitized stock fund consists of the issuer's common stock (approximately 96% of the fund value) and cash or cash equivalents (approximately 4% of fund value). The amount of shares attributed to the reporting person as a Plan participant and expressed as equivalent shares may change from time to time without the volition of the reporting person depending on the fair market value of the issuer's common stock and the amount of cash in the fund.
[F3]The reporting person is the President and majority owner of the Andover Group, Inc., over which the reporting person has voting and investment control.
[F4]The reporting person is the President and sole owner of the Andover Real Estate Services, Inc., over which the reporting person has voting and investment control.
[F5]The reporting person is a Trustee of the Knapp Children's Trust. The reporting person disclaims beneficial ownership of any securities held by the Knapp Children's Trust.
[F6]The reporting person has voting and investment control over Lykes Knapp Family Foundation.

Documents

1 file

4
doc1.xmlPrimary
FORM 4