-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, KghfvLoaskKQDLQhuXCYwsL3fG81qEshotEJ7zRvaVhfjeJQqYCvtmxTcRvfBRrH mJErSkbevvtSbYyWzMP9ag== 0001104659-07-011990.txt : 20070216 0001104659-07-011990.hdr.sgml : 20070216 20070216175205 ACCESSION NUMBER: 0001104659-07-011990 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070214 FILED AS OF DATE: 20070216 DATE AS OF CHANGE: 20070216 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GARDNER LINDSAY A CENTRAL INDEX KEY: 0001197766 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21607 FILM NUMBER: 07632776 BUSINESS ADDRESS: BUSINESS PHONE: 3032797900 MAIL ADDRESS: STREET 1: ISONICS CORP STREET 2: 5906 MCINTYRE STREET CITY: GOLDEN STATE: CO ZIP: 80403 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ISONICS CORP CENTRAL INDEX KEY: 0001023966 STANDARD INDUSTRIAL CLASSIFICATION: CHEMICALS & ALLIED PRODUCTS [2800] IRS NUMBER: 770338561 STATE OF INCORPORATION: CA FISCAL YEAR END: 0430 BUSINESS ADDRESS: STREET 1: 5906 MCINTYRE STREET CITY: GOLDEN STATE: CO ZIP: 80403 BUSINESS PHONE: 3032797900 MAIL ADDRESS: STREET 1: 5906 MCINTYRE STREET CITY: GOLDEN STATE: CO ZIP: 80403 4 1 a4.xml 4 X0202 4 2007-02-14 0 0001023966 ISONICS CORP ISON 0001197766 GARDNER LINDSAY A C/O ISONICS CORPORATION 5906 MCINTYRE STREET GOLDEN CO 80403 1 1 0 0 VP Corp Devel/Life Sciences Common Stock 62287 D Common Stock 62573 D Stock Option 1.06 2007-02-14 4 H 0 10000 0 D 2001-11-13 2006-11-13 Common Stock 10000 0 D Stock Option 1.13 2007-02-14 4 H 0 3014 0 D 2002-03-28 2007-03-28 Common Stock 3014 0 D Stock Option 1.00 2007-02-14 4 H 0 10000 0 D 2002-11-19 2007-11-19 Common Stock 10000 0 D Stock Option 1.42 2007-02-14 4 H 0 10000 0 D 2004-04-27 2009-04-27 Common Stock 10000 0 D Stock Option 1.52 2007-02-14 4 H 0 100000 0 D 2004-10-06 2014-10-06 Common Stock 100000 0 D Stock Option 2.04 2007-02-14 4 H 0 40000 0 D 2005-05-05 2010-04-18 Common Stock 40000 0 D Stock Option 1.15 2007-02-14 4 H 0 30000 0 D 2006-05-09 2016-05-04 Common Stock 30000 0 D Stock Option 1.94 2007-02-14 4 A 0 200000 0 A 2007-02-14 2012-02-13 Common Stock 200000 200000 D Options acquired as a result of being re-elected and accepting position as a director. Surrendered and cancelled by agreement on February 15, 2007. This transaction was exempt from 16(a) reporting requirements pursuant to Rule 16b-3(d). Options granted by resolution of the Compensation Committee of the Board of Directors as consideration for deferral of directors' fees and expenses associated with 2000 annual shareholders' meeting. The grant of options was subject to acceptance by the reporting person by no later than April 30, 2002, which acceptance was received. Surrendered and cancelled by agreement on February 15, 2007. Option granted pursuant to 1996 Executies Equity Incentive Plan and is subject to the following vesting schedule: 25,000 shares vest on October 6, 2004; 25,000 shares vest on October 6, 2005; 25,000 shares vest on October 6, 2006; and 25, 000 shares vest on October 6, 2007. Surrendered and cancelled by agreement on February 15, 2007. Options granted by resolution of the Compensation Committee of the Board of Directors pursuant to the 2005 Stock Option Plan. The grant of the options is subject to acceptance by the reporting person, which acceptance was received on May 5, 2005. Surrendered and cancelled by agreement on February 15, 2007. Options granted by resolution of the Compensation Committee of the Board of Directors pursuant to the 2005 Stock Option Plan. The grant of the options is subject to acceptance by the reporting person, which acceptance was received on May 9, 2006. Options vest at a rate of 7,500 shares immediately on May 9, 2006; 7,500 vest on May 5, 2007; 7,500 vest on May 5, 2008 and 7,500 shares vest on May 5, 2009. Surrendered and cancelled by agreement on February 15, 2007. These shares were acquired pursuant to an Employee Stock Purchase Plan. The transaction is therefore exempt from Section 16(a) reporting requirements by reason of Rule 16a-3(f)(1)(i)(B) and is exempt from Section 16(b) by reason of Rules 16b-3(c) and 16b-3(d). Options granted pursuant to the 2007 Restructuring Equity Plan. Such options vested immediately upon grant. The grant of options is subject to acceptance by the reporting person, which acceptance was received on February 15, 2007. /s/ Lindsay A. Gardner 2007-02-15 -----END PRIVACY-ENHANCED MESSAGE-----