AFFYMAX INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 20 rows in 2009. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-11-10: Reporting owner Duliege Anne-Marie; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2009-09-28: Reporting owner Morris Arlene; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2009-09-28: Reporting owner Morris Arlene; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2009-09-03: Reporting owner Duliege Anne-Marie; 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 |
|---|---|---|---|---|---|---|---|---|
| 2009-11-10 | Duliege Anne-Marie Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,000 5,000 owned after | $0.80 exercise price | 2009-11-12 | |
| 2009-09-28 | Morris Arlene Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −85,541 0 owned after | $0.80 exercise price | 2009-09-30 | |
| 2009-09-28 | Morris Arlene Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,559 36,441 owned after | $0.80 exercise price | 2009-09-30 | |
| 2009-09-03 | Duliege Anne-Marie Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,250 8,000 owned after | $0.80 exercise price | 2009-09-03 | |
| 2009-09-01 | Morris Arlene Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,555 85,541 owned after | $0.80 exercise price | 2009-09-02 | |
| 2009-09-01 | Duliege Anne-Marie Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −30,000 11,250 owned after | $0.80 exercise price | 2009-09-02 | |
| 2009-06-09 | RENTON HOLLINGS Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $16.58 exercise price | 2009-06-10 | |
| 2009-05-28 | SPIEGELMAN DANIEL K Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500 2,500 owned after | $16.79 exercise price | 2009-05-29 | |
| 2009-05-28 | LAPORTE KATHLEEN Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500 2,500 owned after | $16.79 exercise price | 2009-05-29 | |
| 2009-05-28 | van Heek Christi Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500 2,500 owned after | $16.79 exercise price | 2009-05-29 | |
| 2009-05-28 | Leonard Keith R Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500 2,500 owned after | $16.79 exercise price | 2009-05-29 | |
| 2009-05-28 | Douglas R Lee Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500 2,500 owned after | $16.79 exercise price | 2009-05-29 | |
| 2009-05-28 | GALAKATOS NICHOLAS Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500 2,500 owned after | $16.79 exercise price | 2009-05-29 | |
| 2009-05-28 | WALKER JOHN PETER Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500 2,500 owned after | $16.79 exercise price | 2009-05-29 | |
| 2009-05-28 | LOVE TED W Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500 2,500 owned after | $16.79 exercise price | 2009-05-29 | |
| 2009-01-15 | Love Steven Officer (Vice President, Finance) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,000 18,000 owned after | $10.99 exercise price | 2009-01-20 | |
| 2009-01-15 | Venteicher Robert Officer (SVP, Technical Operations) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +33,000 33,000 owned after | $10.99 exercise price | 2009-01-20 | |
| 2009-01-15 | Cleveland Paul B Officer (EVP, Corp. Development and CFO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,000 28,000 owned after | $10.99 exercise price | 2009-01-20 | |
| 2009-01-15 | 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) | +38,000 38,000 owned after | $10.99 exercise price | 2009-01-20 | |
| 2009-01-15 | Morris Arlene Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,000 80,000 owned after | $10.99 exercise price | 2009-01-20 |