FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
OYO GEOSPACE CORP [ OYOG ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 04/16/1998 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) 01/16/2004 |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock, par value $.01 per share | 01/09/2004 | A | 707 | A | (1) | 343,857 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Options (right to buy) | $17.69 | 01/12/2004 | A | 3,150 | 01/12/2005 | 01/12/2014 | Common Stock | 3,150 | (1) | 303,150 | D | ||||
Call Options (right to buy) | $14(2) | 04/16/1998 | P | 160,000 | 04/17/2001 | 04/15/2008 | Common Stock | 160,000 | (3) | 160,000 | D | ||||
Call Options (right to buy) | $10.01 | 06/28/2002 | P | 140,000 | 05/31/2005 | 05/31/2015 | Common Stock | 140,000 | (4) | 300,000 | D |
Explanation of Responses: |
1. Pursuant to the OYO Geospace Corporation 1997 Non-Employee Director Stock Option Plan and in transactions exempt from Rule 16(b) pursuant to Rule 16b-3(d), on January 9, 2004, Mr. Hall was granted 707 shares of Common Stock as partial payment of his annual director's retainer fee and on January 12, 2004, options to purchase an additional 3,150 shares of Common Stock. |
2. The options were originally issued on April 16, 1998 pursuant to a privately negotiated agreement between Mr. Hall and Oyo Corporation U.S.A. with an exercise price of $21.00 per share. The agreement was amended on June 22, 1999 to reduce the exercise price to $14.00 per share. The options vested in equal portions over a three year period. OYO Geospace is not a party to this transaction. |
3. The options were granted to Mr. Hall by OYO Corpporation U.S.A. as compensation for services provided to OYO Corporation U.S.A. |
4. The options were granted pursuant to a privately negotiated agreement between Mr. Hall and OYO Corporation U.S.A. on June 28, 2002 at an exercise price of $10.01. These options can not be exercised prior to May 31, 2005 without the written consent of OYO Corporation U.S.A. OYO Geospace is not a party to this transaction. |
Ernest Hall | 02/03/2004 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |