4//SEC Filing
ICO INC 4
Accession 0001140361-10-017107
CIK 0000353567operating
Filed
Apr 20, 8:00 PM ET
Accepted
Apr 21, 4:04 PM ET
Size
28.0 KB
Accession
0001140361-10-017107
Insider Transaction Report
Form 4
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 totalExercise: $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 totalExercise: $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 totalExercise: $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 totalExercise: $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 totalExercise: $2.40From: 2006-12-15Exp: 2012-11-18→ Common Stock (40,000 underlying)
Holdings
- 513,643(indirect: By IRA)
Common Stock (SEP-IRA)
- 50,000(indirect: By Trust)
Common Stock1
- 278,655(indirect: Andover Group, Inc.)
Common Stock
- 2,680(indirect: By 401(k))
Common Stock 401(k)
- 10,000(indirect: By Foundation)
Common Stock
- 10,000(indirect: By Spouse)
Common Stock
- 39,500(indirect: Andover Real Estate Services, Inc.)
Common Stock
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
Issuer
ICO INC
CIK 0000353567
Entity typeoperating
IncorporatedTX
Related Parties
1- filerCIK 0000353567
Filing Metadata
- Form type
- 4
- Filed
- Apr 20, 8:00 PM ET
- Accepted
- Apr 21, 4:04 PM ET
- Size
- 28.0 KB