- Statement of Changes in Beneficial Ownership (4)
July 06 2010 - 5:20PM
Edgar (US Regulatory)
FORM 4
[
X
]
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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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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
*
COMPOFELICE JOSEPH S
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2. Issuer Name
and
Ticker or Trading Symbol
TRICO MARINE SERVICES INC
[
TRMA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chairman and CEO
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(Last)
(First)
(Middle)
10001 WOODLOCH FOREST DRIVE, STE 610
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3. Date of Earliest Transaction
(MM/DD/YYYY)
5/29/2010
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(Street)
THE WOODLANDS, TX 77380
(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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Code
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V
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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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5/29/2010
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J
(1)
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75528
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D
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$0
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125128
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D
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Table II - Derivative Securities 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
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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 Following Reported Transaction(s) (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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Code
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V
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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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$39.18
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5/29/2010
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J
(2)
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16666
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(3)
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(3)
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Common Stock
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16666
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$0
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33334
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D
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Employee Stock Option (right to buy)
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$2.05
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5/29/2010
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J
(2)
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32500
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(4)
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(4)
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Common Stock
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32500
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$0
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16250
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D
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Stock Appreciation Rights
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$2.05
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5/29/2010
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J
(5)
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32500
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(5)
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(5)
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Common Stock
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32500
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$0
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16250
(6)
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D
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Stock Appreciation Rights
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$2.05
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5/29/2010
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J
(5)
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41667
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(5)
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(5)
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Common Stock
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41667
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$0
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0
(9)
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D
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Phantom Stock
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(7)
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5/29/2010
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J
(8)
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50394
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(8)
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(8)
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Common Stock
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50394
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$0
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0
(9)
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D
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Stock Appreciation Rights
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$2.39
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5/29/2010
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J
(5)
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176601
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(5)
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(5)
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Common Stock
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176601
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$0
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0
(9)
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D
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Explanation of Responses:
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(
1)
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These shares of restricted stock were forfeited upon termination of the reporting person's employment with Issuer effective May 29, 2010.
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(
2)
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These employee stock options were forfeited upon termination of the reporting person's employment with Issuer effective May 29, 2010.
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(
3)
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The entire grant of 50,000 employee stock options vested ratably over a three-year period beginning on the first anniversary of the grant date, of which 33,334 are vested and outstanding and will expire on August 27, 2010.
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(
4)
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The entire grant of 48,750 employee stock options vested ratably over a three-year period as follows: 33% on March 13, 2010, 33% on March 13, 2011 and 34% on March 13, 2012, of which 16,250 have vested and are outstanding and will expire on August 27, 2010.
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(
5)
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These Stock Appreciation Rights were forfeited upon termination of the reporting person's employment with Issuer effective May 29, 2010.
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(
6)
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These SAR's will expire August 27, 2010.
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(
7)
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Each share of Phantom Stock represents the right to receive the fair market value of one share of the Issuer's common stock.
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(
8)
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These shares of Phantom Stock were forfeited upon termination of the reporting person's employment with the Issuer effective May 29, 2010.
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(
9)
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No shares remaining of this particular award.
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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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COMPOFELICE JOSEPH S
10001 WOODLOCH FOREST DRIVE
STE 610
THE WOODLANDS, TX 77380
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X
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Chairman and CEO
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Signatures
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/s/ Rishi Varma on behalf of Joseph S. Compofelice
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7/6/2010
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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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