BUTLER MARSHALL D 4

4 · ALPHA TECHNOLOGIES GROUP INC · Filed Oct 10, 2003

Form 4

Period: 2003-10-08

Director10% Owner

Transactions

Award
Stock Option to Buy
2003-10-08+130,000→ 0 total
Exercise: $1.78From: 2003-10-08Exp: 2008-10-07→ Common Stock (130,000 underlying)
Award
Stock Option to Buy
2003-10-08+5,000→ 260,000 total
Exercise: $1.78From: 2004-10-08Exp: 2008-10-07→ Common Stock (5,000 underlying)

Holdings

Common Stock
408,825
Common Stock
(indirect: Footnote)
470,184
Warrants to Purchase Common Stock
Exercise: $1.42From: 2002-10-01Exp: 2012-09-30→ Common Stock (125,000 underlying)
0

Footnotes (5)

[F1]Includes shares held in trust established by Mr. Butler over which he has no dispositive or voting powers. Mr. Butler disclaims beneficial ownership and pencuniary interest in such shares.
[F2]These warrants were issued to Mr. Butler in connection with a sale and leaseback transaction entered into between a limited liability company in which Mr. Butler owns a 50% equity interest and a subsidiary of Alpha Technologies Group, Inc.
[F3]Represents options granted in exchange for options cancelled on April 3, 2003, pursuant to the Company???s offer to exchange the then outstanding options.
[F4]111,666 shares currently exercisable; 16,667 shares exercisable on January 9, 2004; 1,667 shares exercisable on September 24, 2004.
[F5]These stock options were issued pursuant to the Company's 1994 Amended and Restated Stock Option Plan.

Documents

1 file