⌘K

Login Start Free

Home/Filings/5/0000094056-10-000008

5//SEC Filing

BARONE RICHARD A 5

Accession 0000094056-10-000008

CIK 0000094056other

View on SEC.gov Company Profile

Filed

Feb 16, 7:00 PM ET

Accepted

Feb 17, 10:32 AM ET

Size

17.5 KB

Accession

0000094056-10-000008

Insider Transaction Report

Form 5

Period: 2009-12-31

BARONE RICHARD A

Director

Transactions

Sale
Shares of Common Stock
2009-12-08$2.70/sh−10,000$27,000→ 0 total(indirect: By LLC)
Purchase
Shares of Common Stock
2009-12-08$2.70/sh+10,000$27,000→ 50,000 total
Award
Options to Buy
2007-06-30$3.80/sh+5,062$19,236→ 15,186 total
Exercise: $3.80From: 2008-06-30Exp: 2012-06-30→ Common Stock (5,062 underlying)
Award
Options to Buy
2008-06-30$3.18/sh+5,062$16,097→ 20,248 total
Exercise: $3.18From: 2009-06-30Exp: 2013-06-30→ Common Stock (5,062 underlying)
Award
Options to Buy
2009-06-30$2.40/sh+5,062$12,149→ 5,062 total(indirect: Options to Buy (which have not vested))
Exercise: $2.40From: 2010-06-30Exp: 2014-06-30→ Common Stock (5,062 underlying)

Holdings

Shares of Common Stock
(indirect: By Merlin Partners, LP)
107,601
Options to Buy
Exercise: $3.99From: 2006-09-29Exp: 2010-09-29→ Common Stock (5,062 underlying)
5,062
Options to Buy
Exercise: $3.15From: 2007-06-30Exp: 2011-06-30→ Common Stock (5,062 underlying)
10,124

Footnotes (1)

[F1]Mr. Barone is the majority owner of Ancora Advisors, LLC, which is General Partner of Merlin Partners, LP. Further Mr. Barone is the Managing Partner of Ancora Partners, LLC, which is an affiliate of Ancora Advisors, LLC. Reported shares do not include shares held by accounts managed by Mr. Barone that are charged a management fee only. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

Documents

1 file

5
primary_doc.xmlPrimary
PRIMARY DOCUMENT

Issuer

STEPHAN CO

CIK 0000094056

Entity typeother

Related Parties

1

filerCIK 0001014424

Filing Metadata

Form type: 5
Filed: Feb 16, 7:00 PM ET
Accepted: Feb 17, 10:32 AM ET
Size: 17.5 KB

View on SEC.gov