AFFYMAX INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 14 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-02-15: Reporting owner Knapp Jeffrey H; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-02-15: Reporting owner Knapp Jeffrey H; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-02-15: Reporting owner Knapp Jeffrey H; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-02-01: Reporting owner Orwin John A; Form 4; Security Stock Option (Right to Buy); 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 |
|---|---|---|---|---|---|---|---|---|
| 2013-02-15 | Knapp Jeffrey H Officer (Chief Commercial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 13,250 owned after | $7.99 exercise price | 2013-02-19 | |
| 2013-02-15 | Knapp Jeffrey H Officer (Chief Commercial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −313 9,375 owned after | $7.04 exercise price | 2013-02-19 | |
| 2013-02-15 | Knapp Jeffrey H Officer (Chief Commercial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,015 18,282 owned after | $6.23 exercise price | 2013-02-19 | |
| 2013-02-01 | Orwin John A Director, Officer (CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,200 36,700 owned after | $5.83 exercise price | 2013-02-05 | |
| 2013-02-01 | Orwin John A Director, Officer (CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,166 158,347 owned after | $6.90 exercise price | 2013-02-05 | |
| 2013-01-30 | Knapp Jeffrey H Officer (Chief Commercial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $19.43 exercise price | 2013-02-01 | |
| 2013-01-30 | Orwin John A Director, Officer (CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +96,000 96,000 owned after | $19.43 exercise price | 2013-02-01 | |
| 2013-01-30 | CROSS HERB Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $19.43 exercise price | 2013-02-01 | |
| 2013-01-30 | Duliege Anne-Marie Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $19.43 exercise price | 2013-02-01 | |
| 2013-01-15 | Knapp Jeffrey H Officer (Chief Commercial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,750 40,582 owned after | $18.84 exercise price | 2013-01-17 | |
| 2013-01-15 | Knapp Jeffrey H Officer (Chief Commercial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,016 19,297 owned after | $6.23 exercise price | 2013-01-17 | |
| 2013-01-15 | Knapp Jeffrey H Officer (Chief Commercial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,000 14,250 owned after | $7.99 exercise price | 2013-01-17 | |
| 2013-01-15 | Knapp Jeffrey H Officer (Chief Commercial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −583 0 owned after | $10.99 exercise price | 2013-01-17 | |
| 2013-01-15 | Knapp Jeffrey H Officer (Chief Commercial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −312 9,688 owned after | $7.04 exercise price | 2013-01-17 |