TUFCO TECHNOLOGIES INC 4

Accession 0001209191-14-014734

CIK 0000895329operating

View on SEC.gov Company Profile

Filed

Feb 26, 7:00 PM ET

Accepted

Feb 27, 11:40 AM ET

Size

33.5 KB

Accession

0001209191-14-014734

Insider Transaction Report

Form 4

Period: 2014-02-24

TUFCO TECHNOLOGIES INCTFCO

SIMON ROBERT

Director

Transactions

Disposition to Issuer
Options to Buy
2014-02-24−3,000→ 27,000 total
Exercise: $0.00From: 2014-02-24Exp: 2014-03-09→ Common Stock (3,000 underlying)
Disposition to Issuer
Common Stock
2014-02-24$6.07/sh−709,870$4,308,911→ 0 total(indirect: By Overseas Equity Investors Partners)
Disposition to Issuer
Options to Buy
2014-02-24−3,000→ 21,000 total
Exercise: $0.00From: 2014-02-24Exp: 2016-05-16→ Common Stock (3,000 underlying)
Disposition to Issuer
Options to Buy
2014-02-24−3,000→ 15,000 total
Exercise: $0.00From: 2014-02-24Exp: 2018-05-15→ Common Stock (3,000 underlying)
Disposition to Issuer
Options to Buy
2014-02-24−3,000→ 12,000 total
Exercise: $2.09From: 2014-02-24Exp: 2019-05-12→ Common Stock (3,000 underlying)
Disposition to Issuer
Options to Buy
2014-02-24−3,000→ 3,000 total
Exercise: $2.82From: 2014-02-24Exp: 2022-05-23→ Common Stock (3,000 underlying)
Disposition to Issuer
Common Stock
2014-02-24$6.07/sh−11,803$71,644→ 2,690,740 total
Disposition to Issuer
Common Stock
2014-02-24$6.07/sh−1,909,870$11,592,911→ 709,870 total(indirect: By Bradford Venture Partners, L.P.)
Disposition to Issuer
Options to Buy
2014-02-24−3,000→ 9,000 total
Exercise: $1.87From: 2014-02-24Exp: 2020-05-18→ Common Stock (3,000 underlying)
Disposition to Issuer
Options to Buy
2014-02-24−3,000→ 0 total
Exercise: $0.42From: 2014-02-24Exp: 2023-06-14→ Common Stock (3,000 underlying)
Disposition to Issuer
Options to Buy
2014-02-24−3,000→ 24,000 total
Exercise: $0.00From: 2014-02-24Exp: 2015-04-07→ Common Stock (3,000 underlying)
Disposition to Issuer
Options to Buy
2014-02-24−3,000→ 18,000 total
Exercise: $0.00From: 2014-02-24Exp: 2017-05-16→ Common Stock (3,000 underlying)
Disposition to Issuer
Options to Buy
2014-02-24−3,000→ 6,000 total
Exercise: $2.54From: 2014-02-24Exp: 2021-05-26→ Common Stock (3,000 underlying)

Footnotes (11)

[F1]Pursuant to the Agreement and Plan of Merger, dated as of December 20, 2013, by and among Tufco Holdings, LLC, Packers Acquisition Sub, Inc. and Tufco Technologies, Inc. (the "Merger Agreement"), all shares of common stock were cancelled and exchanged for merger consideration of $6.07 per share in the merger (the "Merger").
[F10]The price listed represents the difference between the exercise price of the options, $3.25 and the Merger consideration pursuant to the Merger Agreement, $6.07.
[F11]The price listed represents the difference between the exercise price of the options, $5.65 and the Merger consideration pursuant to the Merger Agreement, $6.07.
[F2]The price listed represents the difference between the exercise price of the options, $7.56 and the Merger consideration pursuant to the Merger Agreement, $6.07. As the exercise price is greater than the Merger consideration, the conversion price is deemed to be $0.
[F3]The price listed represents the difference between the exercise price of the options, $6.42 and the Merger consideration pursuant to the Merger Agreement, $6.07. As the exercise price is greater than the Merger consideration, the conversion price is deemed to be $0.
[F4]The price listed represents the difference between the exercise price of the options, $6.60 and the Merger consideration pursuant to the Merger Agreement, $6.07. As the exercise price is greater than the Merger consideration, the conversion price is deemed to be $0.
[F5]The price listed represents the difference between the exercise price of the options, $8.05 and the Merger consideration pursuant to the Merger Agreement, $6.07. As the exercise price is greater than the Merger consideration, the conversion price is deemed to be $0.
[F6]The price listed represents the difference between the exercise price of the options, $7.00 and the Merger consideration pursuant to the Merger Agreement, $6.07. As the exercise price is greater than the Merger consideration, the conversion price is deemed to be $0.
[F7]The price listed represents the difference between the exercise price of the options, $3.98 and the Merger consideration pursuant to the Merger Agreement, $6.07.
[F8]The price listed represents the difference between the exercise price of the options, $4.20 and the Merger consideration pursuant to the Merger Agreement, $6.07.
[F9]The price listed represents the difference between the exercise price of the options, $3.53 and the Merger consideration pursuant to the Merger Agreement, $6.07.

Documents

1 file

4
doc4.xmlPrimary
FORM 4 SUBMISSION

Issuer

TUFCO TECHNOLOGIES INC

CIK 0000895329

→

Entity typeoperating

IncorporatedDE

Related Parties

filerCIK 0000895329

Filing Metadata

Form type: 4
Filed: Feb 26, 7:00 PM ET
Accepted: Feb 27, 11:40 AM ET
Size: 33.5 KB

View on SEC.gov