ALIMERA SCIENCES, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 26 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-12-09: Reporting owner Green Kenneth; Form 4; Security Employee Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-12-01: Reporting owner Holland David; Form 4; Security Employee Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-12-01: Reporting owner Holland David; Form 4; Security Employee Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2014-11-03: Reporting owner Holland David; Form 4; Security Employee 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 |
|---|---|---|---|---|---|---|---|---|
| 2014-12-09 | Green Kenneth Officer (SVP & Chief Scientific Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −14,706 0 owned after | $2.04 exercise price | 2014-12-10 | |
| 2014-12-01 | Holland David Officer (SVP of Sales and Marketing) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,883 0 owned after | $1.33 exercise price | 2014-12-03 | |
| 2014-12-01 | Holland David Officer (SVP of Sales and Marketing) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −117 32,971 owned after | $1.33 exercise price | 2014-12-03 | |
| 2014-11-03 | Holland David Officer (SVP of Sales and Marketing) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 4,883 owned after | $1.33 exercise price | 2014-11-05 | |
| 2014-10-01 | Holland David Officer (SVP of Sales and Marketing) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 9,883 owned after | $1.33 exercise price | 2014-10-02 | |
| 2014-09-02 | Holland David Officer (SVP of Sales and Marketing) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 14,883 owned after | $1.33 exercise price | 2014-09-04 | |
| 2014-08-01 | Holland David Officer (SVP of Sales and Marketing) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 19,883 owned after | $1.33 exercise price | 2014-08-04 | |
| 2014-07-28 | Green Kenneth Officer (SVP & Chief Scientific Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −73,529 0 owned after | $2.04 exercise price | 2014-07-30 | |
| 2014-07-01 | Holland David Officer (SVP of Sales & Marketing) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 24,883 owned after | $1.33 exercise price | 2014-07-02 | |
| 2014-06-09 | Brooks Mark J Director | 4 | Stock Option (Right to Buy) Derivative · Indirect · See FN | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $5.56 exercise price | 2014-06-11 | |
| 2014-06-09 | BRADLEY GLEN Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $5.56 exercise price | 2014-06-10 | |
| 2014-06-09 | TRACY PHILIP R Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $5.56 exercise price | 2014-06-10 | |
| 2014-06-09 | Largent James R Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $5.56 exercise price | 2014-06-10 | |
| 2014-06-09 | Pizzo Peter J. III Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $5.56 exercise price | 2014-06-10 | |
| 2014-06-09 | Roberts Calvin W. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $5.56 exercise price | 2014-06-10 | |
| 2014-06-09 | Kong Garheng Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $5.56 exercise price | 2014-06-10 | |
| 2014-06-09 | Halak Brian K Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $5.56 exercise price | 2014-06-10 | |
| 2014-06-02 | Holland David Officer (Senior Vice President of Sales) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,795 0 owned after | $2.04 exercise price | 2014-06-04 | |
| 2014-06-02 | Holland David Officer (Senior Vice President of Sales) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,205 29,883 owned after | $1.33 exercise price | 2014-06-04 | |
| 2014-05-01 | Holland David Officer (SVP of Sales and Marketing) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 1,795 owned after | $2.04 exercise price | 2014-05-02 | |
| 2014-04-01 | Holland David Officer (SVP of Sales and Marketing) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 6,795 owned after | $2.04 exercise price | 2014-04-03 | |
| 2014-03-04 | Myers C. Daniel Director, Officer (President and CEO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −22,775 0 owned after | $2.04 exercise price | 2014-03-05 | |
| 2014-03-04 | Caballa Susan Officer (See Remarks) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,931 0 owned after | $2.04 exercise price | 2014-03-05 | |
| 2014-03-04 | Holland David Officer (SVP of Sales and Marketing) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 16,795 owned after | $2.04 exercise price | 2014-03-05 | |
| 2014-03-03 | Holland David Officer (SVP of Sales and Marketing) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 21,795 owned after | $2.04 exercise price | 2014-03-05 | |
| 2014-01-17 | EISWIRTH RICHARD S JR Officer (COO and CFO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 46,669 owned after | $1.33 exercise price | 2014-01-22 |