Filing Details
- Accession Number:
- 0001209191-11-014141
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-03-02 11:11:29
- Reporting Period:
- 2011-02-28
- Filing Date:
- 2011-03-02
- Accepted Time:
- 2011-03-02 11:11:29
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 868368 | Rochester Medical Corporation | ROCM | Surgical & Medical Instruments & Apparatus (3841) | 411613227 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1033090 | J Philip Conway | 2121 Balsam Court Rochester MN 55902 | Vice President | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2011-02-28 | 7,065 | $2.34 | 401,208 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-02-28 | 7,065 | $10.56 | 394,143 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2011-02-28 | 7,065 | $0.00 | 7,065 | $2.34 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2011-04-06 | No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 9,600 | Indirect | By Spouse IRA |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | $2.17 | 2011-10-16 | 4,998 | 4,998 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $2.17 | 2011-10-16 | 15,002 | 15,002 | Direct | |
| Common Stock | Stock Option (Right to Buy) | $4.13 | 2004-01-02 | 2013-01-02 | 10,000 | 10,000 | Direct |
| Common Stock | Stock Option (Right to Buy) | $4.63 | 2005-01-02 | 2014-01-02 | 12,000 | 12,000 | Direct |
| Common Stock | Stock Option (Right to Buy) | $4.70 | 2006-01-01 | 2015-01-01 | 30,000 | 30,000 | Direct |
| Common Stock | Stock Option (Right to Buy) | $5.70 | 2007-01-26 | 2016-01-26 | 20,000 | 20,000 | Direct |
| Common Stock | Stock Option (Right to Buy) | $12.30 | 2007-11-21 | 2016-11-21 | 20,000 | 20,000 | Direct |
| Common Stock | Stock Option (Right to Buy) | $11.23 | 2009-02-06 | 2018-02-06 | 20,000 | 20,000 | Direct |
| Common Stock | Stock Option (Right to Buy) | $11.27 | 2010-02-03 | 2019-02-03 | 20,000 | 20,000 | Direct |
| Common Stock | Stock Option (Right to Buy) | $12.27 | 2011-01-28 | 2020-01-28 | 20,000 | 20,000 | Direct |
| Common Stock | Stock Option (Right to Buy) | $10.72 | 2012-01-27 | 2021-01-27 | 20,000 | 20,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2011-10-16 | 4,998 | 4,998 | Direct |
| 2011-10-16 | 15,002 | 15,002 | Direct |
| 2013-01-02 | 10,000 | 10,000 | Direct |
| 2014-01-02 | 12,000 | 12,000 | Direct |
| 2015-01-01 | 30,000 | 30,000 | Direct |
| 2016-01-26 | 20,000 | 20,000 | Direct |
| 2016-11-21 | 20,000 | 20,000 | Direct |
| 2018-02-06 | 20,000 | 20,000 | Direct |
| 2019-02-03 | 20,000 | 20,000 | Direct |
| 2020-01-28 | 20,000 | 20,000 | Direct |
| 2021-01-27 | 20,000 | 20,000 | Direct |
Footnotes
- The price in Column 4 is a weighted average. The prices actually received ranged from $10.50 to $10.60. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
- Currently 100% vested.
- Vest as to 25% annual cumulative installments beginning one year from date of grant, beginning the date shown.
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