SOUTHWORTH RICHARD A 4

4 · SPECTRUM CONTROL INC · Filed Jan 9, 2009

Form 4

Period: 2009-01-07

DirectorPresident

Transactions

Award
Options
2009-01-07+40,000→ 40,000 total
Exercise: $5.75Exp: 2014-01-07→ Common Stock (40,000 underlying)

Holdings

Options
Exercise: $9.30Exp: 2012-12-03→ Common Stock (20,000 underlying)
20,000
Common Stock
1,425
Common Stock
142,331
Options
Exercise: $7.60Exp: 2010-01-19→ Common Stock (25,000 underlying)
25,000
Non-qualified Stock Options
Exercise: $6.31Exp: 2010-11-01→ Common Stock (50,000 underlying)
50,000
Options
Exercise: $8.68Exp: 2009-01-19→ Common Stock (40,000 underlying)
40,000
Options
Exercise: $7.60Exp: 2010-01-19→ Common Stock (15,000 underlying)
15,000

Footnotes (8)

[F1]All of the options are currently exercisable.
[F2]1/3rd of the options are currently exercisable, 1/3rd are exercisable 1/19/08, and the remaining 1/3rd are exercisable 1/19/09.
[F3]1/3rd of the options are currently exercisable, 1/3rd are exercisable 1/19/08, and the remaining 1/3rd are exercisable 1/19/09.
[F4]1/3rd of the options are currently exercisable, 1/3rd are exercisable 11/1/08, and the remaining 1/3rd are exercisable 11/1/09.
[F5]1/3rd of the options are exercisable 12/3/2009, 1/3rd are exercisable 12/3/2010, and the remaining 1/3rd are exercisable 11/1/2011.
[F6]1/3rd of the options are exercisable 1/7/2011, 1/3rd are exercisable 1/7/2012, and the remaining 1/3rd are exercisable 1/7/2013.
[F7]All are granted under the Spectrum Contol, Inc. Employee Stock Option Plan which is a Rule 16b-3 Plan.
[F8]These shares are held jointly with the reporting persons spouse.

Documents

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