4//SEC Filing
ROBERTS JOHN ROTH III 4
Accession 0001181431-11-036186
CIK 0001111559other
Filed
Jun 9, 8:00 PM ET
Accepted
Jun 10, 6:33 PM ET
Size
21.7 KB
Accession
0001181431-11-036186
Insider Transaction Report
Form 4
ROBERTS JOHN ROTH III
Chief Operating Officer
Transactions
- Disposition to Issuer
Stock Option (Right to Buy)
2011-06-10−10,165→ 0 totalExercise: $11.42From: 2009-01-18Exp: 2018-01-18→ Common Stock (10,165 underlying) - Disposition to Issuer
Common Stock
2011-06-08$9.75/sh−13,228$128,973→ 79,238 total - Disposition to Issuer
Stock Option (Right to Buy)
2011-06-10−35,000→ 0 totalExercise: $11.40From: 2008-07-24Exp: 2017-07-24→ Common Stock (35,000 underlying) - Disposition to Issuer
Stock Option (Right to Buy)
2011-06-10−29,414→ 0 totalExercise: $6.41From: 2011-02-16Exp: 2020-02-16→ Common Stock (29,414 underlying) - Disposition to Issuer
Stock Option (Right to Buy)
2011-06-10−14,732→ 0 totalExercise: $7.11From: 2012-02-15Exp: 2021-02-15→ Common Stock (14,732 underlying) - Disposition to Issuer
Common Stock
2011-06-10$9.75/sh−79,238$772,571→ 0 total - Disposition to Issuer
Stock Option (Right to Buy)
2011-06-10−5,296→ 0 totalExercise: $11.42From: 2009-01-18Exp: 2018-01-18→ Common Stock (5,296 underlying) - Disposition to Issuer
Stock Option (Right to Buy)
2011-06-10−18,960→ 0 totalExercise: $5.77From: 2010-01-16Exp: 2019-01-16→ Common Stock (18,960 underlying) - Disposition to Issuer
Stock Option (Right to Buy)
2011-06-10−12,644→ 0 totalExercise: $5.77From: 2010-01-16Exp: 2019-01-16→ Common Stock (12,644 underlying)
Footnotes (3)
- [F1]Represents shares of common stock that were tendered to Felix 2011 Acquisition Sub, Inc., a Florida corporation ("Purchaser"), and a wholly-owned direct subsidiary of Monex Group, Inc., a Japanese corporation, pursuant to Purchaser's offer to purchase all outstanding shares of the Issuer at a purchase price of $9.75 per share, net to the seller in cash, without interest and less any required withholding taxes, upon the terms and subject to the conditions set forth in the Offer to Purchase, dated May 10, 2011 (together with any amendments and supplements thereto), and in the related Letter of Transmittal (together with any amendments and supplements thereto).
- [F2]These shares were canceled pursuant to the Agreement and Plan of Merger, dated as of April 20, 2011, by and among the Issuer, Monex Group, Inc., a Japanese corporation, and Felix 2011 Acquisition Sub, Inc., a Florida corporation, in exchange for the right to receive a cash payment equal to $9.75 per share (without interest and less any required withholding taxes) at the effective time of the merger.
- [F3]This option was canceled pursuant to the Agreement and Plan of Merger, dated as of April 20, 2011, by and among the Issuer, Monex Group, Inc., a Japanese corporation, and Felix 2011 Acquisition Sub, Inc., a Florida corporation, in exchange for the right to receive a cash payment representing the number of shares of the Issuer's common stock underlying such option multiplied by the positive difference, if any, between the purchase price of $9.75 per share minus the exercise price of the option (without interest and less any required withholding taxes) at the effective time of the merger.
Documents
Issuer
TRADESTATION GROUP INC
CIK 0001111559
Entity typeother
Related Parties
1- filerCIK 0001283205
Filing Metadata
- Form type
- 4
- Filed
- Jun 9, 8:00 PM ET
- Accepted
- Jun 10, 6:33 PM ET
- Size
- 21.7 KB