APTINYX INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 42 rows in 2019. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-12-31: Reporting owner GANTZ WILBUR H; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2019-12-31: Reporting owner ENRIGHT PATRICK G; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2019-12-31: Reporting owner Topper James N; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2019-12-31: Reporting owner HOMBACH ROBERT J.; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-12-31 | GANTZ WILBUR H Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,461 8,461 owned after | $2.14 | 2020-01-03 | |
| 2019-12-31 | ENRIGHT PATRICK G Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,427 5,427 owned after | $2.14 | 2020-01-03 | |
| 2019-12-31 | Topper James N Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,018 5,018 owned after | $2.14 | 2020-01-03 | |
| 2019-12-31 | HOMBACH ROBERT J. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,835 5,835 owned after | $2.14 | 2020-01-03 | |
| 2019-12-31 | Gould Terry P Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,668 4,668 owned after | $2.14 | 2020-01-03 | |
| 2019-12-31 | Gosebruch Henry O Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,668 4,668 owned after | $2.14 | 2020-01-03 | |
| 2019-12-31 | ADAMS STREET PARTNERS LLC 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,668 4,668 owned after | $2.14 | 2020-01-03 | |
| 2019-09-30 | Gould Terry P Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,802 4,802 owned after | $2.08 | 2019-10-02 | |
| 2019-09-30 | GANTZ WILBUR H Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,703 8,703 owned after | $2.08 | 2019-10-02 | |
| 2019-09-30 | Gosebruch Henry O Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,419 4,419 owned after | $2.08 | 2019-10-02 | |
| 2019-09-30 | ENRIGHT PATRICK G Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,582 5,582 owned after | $2.08 | 2019-10-02 | |
| 2019-09-30 | HOMBACH ROBERT J. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,002 6,002 owned after | $2.08 | 2019-10-02 | |
| 2019-09-30 | Topper James N Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,162 5,162 owned after | $2.08 | 2019-10-02 | |
| 2019-09-30 | ADAMS STREET PARTNERS LLC 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,802 4,802 owned after | $2.08 | 2019-10-02 | |
| 2019-08-30 | Sherman Rachel E. Director | 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 | $3.38 exercise price | 2019-09-04 | |
| 2019-06-28 | Topper James N Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,424 5,424 owned after | $1.98 | 2019-07-02 | |
| 2019-06-28 | HOMBACH ROBERT J. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,307 6,307 owned after | $1.98 | 2019-07-02 | |
| 2019-06-28 | Gould Terry P Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,046 5,046 owned after | $1.98 | 2019-07-02 | |
| 2019-06-28 | Gosebruch Henry O Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,649 2,649 owned after | $1.98 | 2019-07-02 | |
| 2019-06-28 | ENRIGHT PATRICK G Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,866 5,866 owned after | $1.98 | 2019-07-02 | |
| 2019-06-28 | GANTZ WILBUR H Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,145 9,145 owned after | $1.98 | 2019-07-02 | |
| 2019-06-28 | ADAMS STREET PARTNERS LLC 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,046 5,046 owned after | $1.98 | 2019-07-02 | |
| 2019-05-15 | Koppel Adam Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $3.73 exercise price | 2019-05-17 | |
| 2019-05-15 | Gould Terry P Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $3.73 exercise price | 2019-05-17 | |
| 2019-05-15 | GANTZ WILBUR H Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $3.73 exercise price | 2019-05-17 | |
| 2019-05-15 | HOMBACH ROBERT J. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $3.73 exercise price | 2019-05-17 | |
| 2019-05-15 | ENRIGHT PATRICK G Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $3.73 exercise price | 2019-05-17 | |
| 2019-05-15 | Gosebruch Henry O Director | 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 | $3.73 exercise price | 2019-05-17 | |
| 2019-05-15 | Topper James N Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $3.73 exercise price | 2019-05-17 | |
| 2019-03-29 | ENRIGHT PATRICK G Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,793 4,793 owned after | $2.43 | 2019-04-02 | |
| 2019-03-29 | Gould Terry P Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,123 4,123 owned after | $2.43 | 2019-04-02 | |
| 2019-03-29 | HOMBACH ROBERT J. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,154 5,154 owned after | $2.43 | 2019-04-02 | |
| 2019-03-29 | GANTZ WILBUR H Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,474 7,474 owned after | $2.43 | 2019-04-02 | |
| 2019-03-29 | Topper James N Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,433 4,433 owned after | $2.43 | 2019-04-02 | |
| 2019-03-29 | Ratcliffe Liam Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,123 4,123 owned after | $2.43 | 2019-04-02 | |
| 2019-03-29 | ADAMS STREET PARTNERS LLC 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,123 4,123 owned after | $2.43 | 2019-04-02 | |
| 2019-01-04 | KIDD ANDREW Officer (Chief Commercial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +90,000 90,000 owned after | $19.33 exercise price | 2019-01-07 | |
| 2019-01-04 | KHANNA ASHISH Officer (CFO and CBO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +90,000 90,000 owned after | $19.33 exercise price | 2019-01-07 | |
| 2019-01-04 | RIEDEL NORBERT G Director, Officer (CEO and President) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +275,000 275,000 owned after | $19.33 exercise price | 2019-01-07 | |
| 2019-01-04 | Houck David Officer (Chief Development Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $19.33 exercise price | 2019-01-07 | |
| 2019-01-04 | Madsen Torsten M. Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $19.33 exercise price | 2019-01-07 | |
| 2019-01-04 | MOSKAL JOSEPH R. Officer (Chief Scientific Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $19.33 exercise price | 2019-01-07 |