CAPOVILLA DENNIS 4

Accession 0001140361-11-055412

CIK 0000813619other

View on SEC.gov Company Profile

Filed

Nov 29, 7:00 PM ET

Accepted

Nov 30, 3:43 PM ET

Size

36.8 KB

Accession

0001140361-11-055412

Insider Transaction Report

Form 4

Period: 2011-11-28

SOUTHWALL TECHNOLOGIES INC /DE/SWTX

CAPOVILLA DENNIS

CEO

Transactions

Disposition to Issuer
Incentive Stock Option
2011-11-28$10.70/sh−26,240$280,768→ 0 total
Exercise: $2.90From: 2006-12-09Exp: 2015-12-09→ Common Stock (26,240 underlying)
Disposition to Issuer
Non-Qualified Stock Option
2011-11-28$11.10/sh−25,267$280,464→ 0 total
Exercise: $2.50From: 2005-10-05Exp: 2014-10-05→ Common Stock (25,267 underlying)
Disposition to Issuer
Incentive Stock Option
2011-11-28$10.45/sh−30,000$313,500→ 0 total
Exercise: $3.15From: 2010-04-28Exp: 2019-04-24→ Common Stock (30,000 underlying)
Disposition to Issuer
Incentive Stock Option
2011-11-28$10.05/sh−15,000$150,750→ 0 total
Exercise: $3.55From: 2007-05-11Exp: 2016-05-10→ Common Stock (15,000 underlying)
Disposition to Issuer
Non-Qualified Stock Option
2011-11-28$2.60/sh−7,352$19,115→ 0 total
Exercise: $11.00From: 2012-03-25Exp: 2021-03-24→ Common Stock (7,352 underlying)
Disposition to Issuer
Incentive Stock Option
2011-11-28$11.10/sh−10,734$119,147→ 0 total
Exercise: $2.50From: 2005-10-05Exp: 2014-10-05→ Common Stock (10,734 underlying)
Disposition to Issuer
Non-Qualified Stock Option
2011-11-28$5.65/sh−1,618$9,142→ 0 total
Exercise: $7.95From: 2011-03-24Exp: 2020-03-23→ Common Stock (1,618 underlying)
Disposition to Issuer
Incentive Stock Option
2011-11-28$2.60/sh−13,648$35,485→ 0 total
Exercise: $11.00From: 2012-03-25Exp: 2021-03-24→ Common Stock (13,648 underlying)
Disposition to Issuer
Non-Qualified Stock Option
2011-11-28$10.70/sh−3,761$40,243→ 0 total
Exercise: $2.90From: 2006-12-09Exp: 2015-12-09→ Common Stock (3,761 underlying)
Disposition to Issuer
Incentive Stock Option
2011-11-28$11.35/sh−30,000$340,500→ 0 total
Exercise: $2.25From: 2008-02-06Exp: 2017-02-05→ Common Stock (30,000 underlying)
Disposition to Issuer
Incentive Stock Option
2011-11-28$9.40/sh−23,810$223,814→ 0 total
Exercise: $4.20From: 2009-02-26Exp: 2018-02-25→ Common Stock (23,810 underlying)
Disposition to Issuer
Non-Qualified Stock Option
2011-11-28$9.40/sh−8,191$76,995→ 0 total
Exercise: $4.20From: 2009-02-26Exp: 2018-02-25→ Common Stock (8,191 underlying)
Disposition to Issuer
Incentive Stock Option
2011-11-28$7.75/sh−20,000$155,000→ 0 total
Exercise: $5.85From: 2009-05-15Exp: 2018-05-15→ Common Stock (20,000 underlying)
Disposition to Issuer
Incentive Stock Option
2011-11-28$5.65/sh−19,382$109,508→ 0 total
Exercise: $7.95From: 2011-03-24Exp: 2020-03-23→ Common Stock (19,382 underlying)

Footnotes (15)

[F1]The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated October 6, 2011, among the Registrant, Solutia Inc. and Backbone Merger Sub, Inc.
[F10]The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Merger Agreement.
[F11]The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Merger Agreement.
[F12]The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Merger Agreement.
[F13]The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Merger Agreement.
[F14]The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Merger Agreement.
[F15]The reporting person received cash consideration for the cancellation of the option pursuant to the Merger Agreement equal to the number of shares of the Registrant's common stock underlying such option multiplied by the difference between the exercise price of the option and the per share purchase price of $13.60 in accordance with the Merger Agreement.
[F2]The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Merger Agreement.
[F3]The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Merger Agreement.
[F4]The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Merger Agreement.
[F5]The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Merger Agreement.
[F6]The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Merger Agreement.
[F7]The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Merger Agreement.
[F8]The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Merger Agreement.
[F9]The option provided for vesting over 4 years with 25% vesting after 6 months and the remainder vesting monthly thereafter. The vesting was fully accelerated pursuant to the Merger Agreement.

Documents

1 file

4
doc1.xmlPrimary
FORM 4

Issuer

SOUTHWALL TECHNOLOGIES INC /DE/

CIK 0000813619

→

Entity typeother

Related Parties

filerCIK 0001256340

Filing Metadata

Form type: 4
Filed: Nov 29, 7:00 PM ET
Accepted: Nov 30, 3:43 PM ET
Size: 36.8 KB

View on SEC.gov