- Annual Statement of Changes in Beneficial Ownership (5)
October 31 2008 - 1:14PM
Edgar (US Regulatory)
FORM 5
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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).
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Form 3 Holdings Reported
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Form 4 Transactions Reported
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Barkmann Stephen E
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2. Issuer Name
and
Ticker or Trading Symbol
ICO INC [ICOC]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Group President-Bayshore Ind.
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(Last)
(First)
(Middle)
1300 MCCABE ROAD
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3. Statement for Issuer's Fiscal Year Ended
(MM/DD/YYYY)
9/30/2008
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(Street)
LA PORTE, TX 77571
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
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7. Nature of Indirect Beneficial Ownership
(Instr. 4)
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Amount
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(A) or (D)
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Price
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Common Stock
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36000
(1)
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D
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Common Stock - 401(k)
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20827
(2)
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I
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Through ICO, Inc. 401(k) Plan
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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 Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year
(Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
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11. Nature of Indirect Beneficial Ownership
(Instr. 4)
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Option (Right to Buy)
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$5.40
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5/3/2008
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5/3/2013
(3)
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Common Stock
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16250
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16250
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D
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Employee Stock Option (Right to Buy)
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$5.40
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5/3/2009
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5/3/2013
(3)
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Common Stock
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16250
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16250
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D
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Employee Stock Option (Right to Buy)
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$5.40
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5/3/2010
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5/3/2013
(3)
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Common Stock
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16250
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16250
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D
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Employee Stock Option (Right to Buy)
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$2.45
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5/25/2008
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5/25/2015
(3)
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Common Stock
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10000
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10000
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D
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Employee Stock Option (Right to Buy)
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$2.45
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5/25/2009
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5/25/2015
(3)
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Common Stock
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10000
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10000
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D
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Employee Stock Option (Right to Buy)
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$2.39
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8/9/2007
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8/9/2014
(3)
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Common Stock
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10000
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10000
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D
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Explanation of Responses:
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(
1)
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Total includes 36,000 restricted shares of issuer's common stock issued pursuant to the ICO, Inc. 2007 Equity Incentive Plan. All of these restricted shares will vest on August 13, 2010, subject to forfeiture prior to vesting in accordance with the terms of the Restricted Stock Agreement pursuant to which such restricted shares were awarded.
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(
2)
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The number of shares listed on this form represents the reporting person's interest in equivalent shares held by the unitized stock fund in the Issuer's 401(k) savings plan ("Plan"). The unitized stock fund consists of the issuer's common stock (approximately 96% of the fund value) and cash or cash equivalents (approximately 4% of fund value). The amount of shares attributed to the reporting person as a Plan participant and expressed as equivalent shares may change from time to time without the volition of the reporting person depending on the fair market value of the issuer's common stock and the amount of cash in the fund.
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(
3)
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Options expire on the earlier of the stated expiration date or three months after the reporting person ceases to be an employee.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Barkmann Stephen E
1300 MCCABE ROAD
LA PORTE, TX 77571
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Group President-Bayshore Ind.
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Signatures
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Stephen E. Barkmann
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10/31/2008
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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 control number.
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