-----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, RpIm5ozS3zAL35M+ltnGUXrPAPMM35J8bGbhiXibnjTI21sws7yfNXH/AwUJKtIj GGHC3RuKaUob58DJcxTjrw== 0001181431-10-059199.txt : 20101203 0001181431-10-059199.hdr.sgml : 20101203 20101203151632 ACCESSION NUMBER: 0001181431-10-059199 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101123 FILED AS OF DATE: 20101203 DATE AS OF CHANGE: 20101203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OSHMAN TRUST DATED 7 10 1979 CENTRAL INDEX KEY: 0001274140 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29748 FILM NUMBER: 101231239 MAIL ADDRESS: STREET 1: C/O ECHELONCORP STREET 2: 550 MERIDIAN AVENUE CITY: SAN JOSE STATE: CA ZIP: 95126 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: O S VENTURES CENTRAL INDEX KEY: 0001274143 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29748 FILM NUMBER: 101231240 MAIL ADDRESS: STREET 1: C/O ECHELONCORP STREET 2: 550 MERIDIAN AVENUE CITY: SAN JOSE STATE: CA ZIP: 95126 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: OSHMAN M KENNETH CENTRAL INDEX KEY: 0001078519 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29748 FILM NUMBER: 101231241 MAIL ADDRESS: STREET 1: C/O ECHELON CORP STREET 2: 4015 MIRANDA AVE CITY: PALO ALTO STATE: CA ZIP: 94304 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ECHELON CORP CENTRAL INDEX KEY: 0000031347 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER COMMUNICATIONS EQUIPMENT [3576] IRS NUMBER: 770203595 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 550 MERIDIAN AVENUE CITY: SAN JOSE STATE: CA ZIP: 95126 BUSINESS PHONE: 4089385200 MAIL ADDRESS: STREET 1: 550 MERIDIAN AVENUE CITY: SAN JOSE STATE: CA ZIP: 95126 4 1 rrd293003.xml GIFT, RELEASE, SALE X0303 4 2010-11-23 0 0000031347 ECHELON CORP ELON 0001078519 OSHMAN M KENNETH 550 MERIDIAN AVE SAN JOSE CA 95126 1 1 1 0 Executive Chairman 0001274143 O S VENTURES C/O M KENNETH OSHMAN ECHELON CORP., 550 MERIDIAN AVE SAN JOSE CA 95126 0 0 1 0 0001274140 OSHMAN TRUST DATED 7 10 1979 C/O M KENNETH OSHMAN ECHELON CORP., 550 MERIDIAN AVE SAN JOSE CA 95126 0 0 1 0 Common Stock 2010-11-23 5 G 0 1204282 0 D 1625854 I See footnote Common Stock 2010-11-23 5 G 0 1204282 0 A 1204282 I See footnote Common Stock 2010-12-01 4 M 0 3404 A 3404 D Common Stock 2010-12-01 4 F 0 1588 9.75 D 1816 D Common Stock 2010-12-02 5 G 0 1816 0 D 0 D Common Stock 2010-12-02 5 G 0 1816 0 A 1627670 I See footnote Common Stock 2010-12-02 4 S 0 1816 9.7309 D 1625854 I See footnote Common Stock 210492 I See footnote Common Stock 210492 I See footnote Common Stock 293220 I See footnote Common Stock 293220 I See footnote Common Stock 89508 I See footnote Common Stock 89508 I See footnote Common Stock 181558 I See footnote Common Stock 181558 I See footnote Common Stock 488428 I See footnote Performance Shares 2010-12-01 4 M 0 3404 0 D 2011-03-10 Common Stock 3404 10213 D These shares are held by the Oshman Trust dated July 10, 1979, of which the Reporting Person and his spouse, Barbara S. Oshman, serve as co-trustees. These shares are held by the M. Kenneth Oshman 2010A Annuity Trust dated August 18, 2010. These shares are held by the Barbara S. Oshman 2010A Annuity Trust dated August 18, 2010. These shares are held by the M. Kenneth Oshman 2009 Annuity Trust dated February 20, 2009. These shares are held by the Barbara S. Oshman 2009 Annuity Trust dated February 20, 2009. These shares are held by the M. Kenneth Oshman 2009A Annuity Trust dated August 4, 2009. These shares are held by the Barbara S. Oshman 2009A Annuity Trust dated August 4, 2009. These shares are held by the M. Kenneth Oshman 2010 Annuity Trust dated February 23, 2010. These shares are held by the Barbara S. Oshman 2010 Annuity Trust dated February 23, 2010. These shares are held by O-S Ventures, a general partnership, of which M. Kenneth Oshman is general partner. The 1,816 shares were sold through separate trades, with the sale prices ranging from $9.73 to $9.7325 and at a weighted average sale price of $9.7309. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate sale price. These shares are held by Barbara S. Oshman as her sole and separate property. M. Kenneth Oshman disclaims beneficial ownership of such shares. Each performance share represents the right to receive one share of the Issuer's Common Stock. 3,404 of the 40,850 shares granted to M. Kenneth Oshman under the Issuer's 1997 Stock Plan were vested and released to M. Kenneth Oshman effective December 1, 2010. Such 40,850 share grant vests at the following rate: 1/12th of such shares on April 1, 2010 and on each one-month anniversary thereafter. This trade was executed pursuant to a Rule 10b5-1 trading plan that was adopted on May 20, 2010. /s/ Oliver R. Stanfield, attorney-in-fact for M. Kenneth Oshman 2010-12-03 -----END PRIVACY-ENHANCED MESSAGE-----