ABAXIS INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 59 rows in 2007. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2007-11-14: Reporting owner SEVERSON CLINTON; Form 4; Security Option Exercise; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2007-10-29: Reporting owner INES ALBERTO SANTA; Form 4; Security Option Exercise; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2007-10-26: Reporting owner INES ALBERTO SANTA; Form 4/A; Security Option Exercise; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2007-10-26: Reporting owner INES ALBERTO SANTA; Form 4/A; Security Option Exercise; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2007-11-14 | SEVERSON CLINTON Director, Officer (President,CEO & Board Chairman) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −70,000 70,000 owned after | $1.56 exercise price | 2007-11-15 | |
| 2007-10-29 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,949 46,432 owned after | $3.00 exercise price | 2007-10-30 | |
| 2007-10-26 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4/A | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 0 owned after | $4.87 exercise price | 2007-10-30 | |
| 2007-10-26 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4/A | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 0 owned after | $5.47 exercise price | 2007-10-30 | |
| 2007-10-26 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4/A | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −619 49,381 owned after | $3.00 exercise price | 2007-10-30 | |
| 2007-10-26 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 0 owned after | $4.87 exercise price | 2007-10-30 | |
| 2007-10-26 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 0 owned after | $5.47 exercise price | 2007-10-30 | |
| 2007-10-26 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −619 49,381 owned after | $3.00 exercise price | 2007-10-30 | |
| 2007-10-25 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 1,000 owned after | $4.87 exercise price | 2007-10-26 | |
| 2007-10-11 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 6,000 owned after | $4.87 exercise price | 2007-10-12 | |
| 2007-10-01 | OSTOICH VLADIMIR Officer (VP of Govt Affairs & Pac Rim) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 0 owned after | $4.87 exercise price | 2007-10-02 | |
| 2007-10-01 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 11,000 owned after | $4.87 exercise price | 2007-10-02 | |
| 2007-09-19 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 13,000 owned after | $4.87 exercise price | 2007-09-20 | |
| 2007-09-04 | OSTOICH VLADIMIR Officer (VP of Govt Affairs & Pac Rim) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 2,000 owned after | $4.87 exercise price | 2007-09-04 | |
| 2007-08-21 | TUCKER ERNEST Director | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $4.18 exercise price | 2007-08-23 | |
| 2007-08-09 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 15,000 owned after | $4.87 exercise price | 2007-08-10 | |
| 2007-08-01 | OSTOICH VLADIMIR Officer (VP of Govt Affairs & Pac Rim) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 8,000 owned after | $4.87 exercise price | 2007-08-01 | |
| 2007-07-02 | OSTOICH VLADIMIR Officer (VP of Govt Affairs & Pac Rim) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 14,000 owned after | $4.87 exercise price | 2007-07-03 | |
| 2007-06-05 | ARON KENNETH Officer (VP of Research and Development) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −36,891 3,109 owned after | $7.56 exercise price | 2007-06-07 | |
| 2007-06-05 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 25,000 owned after | $3.85 exercise price | 2007-06-05 | |
| 2007-06-04 | ARON KENNETH Officer (VP of Research and Development) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 0 owned after | $3.85 exercise price | 2007-06-05 | |
| 2007-06-01 | OSTOICH VLADIMIR Officer (VP of Govt Affairs & Pac Rim) | 4/A | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 20,000 owned after | $4.87 exercise price | 2007-06-05 | |
| 2007-06-01 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4/A | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 17,000 owned after | $4.87 exercise price | 2007-06-05 | |
| 2007-06-01 | MILDER ROBERT Officer (Chief Operations Officer) | 4/A | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 0 owned after | $8.13 exercise price | 2007-06-05 | |
| 2007-06-01 | MILDER ROBERT Officer (Chief Operations Officer) | 4/A | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,000 0 owned after | $5.47 exercise price | 2007-06-05 | |
| 2007-06-01 | MILDER ROBERT Officer (Chief Operations Officer) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 65,805 owned after | $8.13 | 2007-06-01 | |
| 2007-06-01 | MILDER ROBERT Officer (Chief Operations Officer) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,000 65,805 owned after | $5.47 | 2007-06-01 | |
| 2007-06-01 | OSTOICH VLADIMIR Officer (VP of Govt Affairs & Pac Rim) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 436,380 owned after | $4.87 | 2007-06-01 | |
| 2007-06-01 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 167,647 owned after | $4.87 | 2007-06-01 | |
| 2007-05-10 | Mulroy Martin Officer (VP-Sales&Marketing,Veterinary) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 25,746 owned after | $1.56 | 2007-05-11 | |
| 2007-05-01 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 169,647 owned after | $7.88 | 2007-05-03 | |
| 2007-05-01 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 169,647 owned after | $4.87 | 2007-05-03 | |
| 2007-05-01 | OSTOICH VLADIMIR Officer (VP of Govt Affairs & Pac Rim) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 442,380 owned after | $4.87 | 2007-05-02 | |
| 2007-04-23 | MILDER ROBERT Officer (Chief Operations Officer) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −834 127,275 owned after | $3.85 | 2007-04-24 | |
| 2007-04-12 | ARON KENNETH Officer (VP of Research and Development) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 145,515 owned after | $7.56 | 2007-04-13 | |
| 2007-04-12 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 170,180 owned after | $8.63 | 2007-04-12 | |
| 2007-04-12 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,000 170,180 owned after | $7.88 | 2007-04-12 | |
| 2007-04-02 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 180,180 owned after | $8.63 | 2007-04-02 | |
| 2007-04-02 | OSTOICH VLADIMIR Officer (VP of Govt Affairs & Pac Rim) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 446,558 owned after | $4.87 | 2007-04-02 | |
| 2007-03-28 | MILDER ROBERT Officer (Chief Operations Officer) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −833 127,276 owned after | $3.85 | 2007-03-28 | |
| 2007-03-22 | MILDER ROBERT Officer (Chief Operations Officer) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,850 128,109 owned after | $3.85 | 2007-03-22 | |
| 2007-03-21 | MILDER ROBERT Officer (Chief Operations Officer) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −17,000 143,959 owned after | $2.25 | 2007-03-22 | |
| 2007-03-21 | MILDER ROBERT Officer (Chief Operations Officer) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 143,959 owned after | $4.87 | 2007-03-22 | |
| 2007-03-21 | MILDER ROBERT Officer (Chief Operations Officer) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −22,483 143,959 owned after | $3.85 | 2007-03-22 | |
| 2007-03-09 | SEVERSON CLINTON Director, Officer (President,CEO & Board Chairman) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,590 717,024 owned after | $3.13 | 2007-03-09 | |
| 2007-03-08 | SEVERSON CLINTON Director, Officer (President,CEO & Board Chairman) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −23,410 727,614 owned after | $3.13 | 2007-03-09 | |
| 2007-03-07 | SEVERSON CLINTON Director, Officer (President,CEO & Board Chairman) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,000 751,024 owned after | $3.13 | 2007-03-08 | |
| 2007-03-06 | OSTOICH VLADIMIR Officer (VP of Govt Affair & Pac Rim) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 451,724 owned after | $2.50 | 2007-03-07 | |
| 2007-03-01 | OSTOICH VLADIMIR Officer (VP of Govt Affairs & Pac Rim) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 451,724 owned after | $4.87 | 2007-03-02 | |
| 2007-03-01 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 181,346 owned after | $8.63 | 2007-03-02 | |
| 2007-03-01 | MILDER ROBERT Officer (Chief Operations Officer) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,000 232,608 owned after | $1.88 | 2007-03-02 | |
| 2007-03-01 | MILDER ROBERT Officer (Chief Operations Officer) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 232,608 owned after | $2.25 | 2007-03-02 | |
| 2007-02-23 | ARON KENNETH Officer (VP of Research and Development) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,605 164,681 owned after | $3.85 | 2007-02-26 | |
| 2007-02-20 | MILDER ROBERT Officer (Chief Operations Officer) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 246,775 owned after | $2.34 | 2007-02-22 | |
| 2007-02-20 | MILDER ROBERT Officer (Chief Operations Officer) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 246,775 owned after | $1.88 | 2007-02-22 | |
| 2007-02-20 | ARON KENNETH Officer (VP of Research and Development) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,895 167,453 owned after | $3.85 | 2007-02-22 | |
| 2007-02-06 | MILDER ROBERT Officer (Chief Operations Officer) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,000 276,775 owned after | $2.34 | 2007-02-07 | |
| 2007-02-02 | INES ALBERTO SANTA Officer (CFO and VP of Finance) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,000 182,513 owned after | $8.63 | 2007-02-05 | |
| 2007-02-01 | OSTOICH VLADIMIR Officer (VP of Govt Affairs & Pac Rim) | 4 | Option Exercise Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 456,891 owned after | $4.87 | 2007-02-02 |