APTINYX INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 34 rows in 2020. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-12-31: Reporting owner Koppel Adam; Form 4; Security Stock Option (Right Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-12-31: 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).
- 2020-12-31: Reporting owner Gould Terry P; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-12-31: Reporting owner Gosebruch Henry O; 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 |
|---|---|---|---|---|---|---|---|---|
| 2020-12-31 | Koppel Adam Director, 10% Owner | 4 | Stock Option (Right Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,508 5,508 owned after | $2.22 | 2021-01-05 | |
| 2020-12-31 | HOMBACH ROBERT J. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,620 5,620 owned after | $2.22 | 2021-01-05 | |
| 2020-12-31 | Gould Terry P Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,496 4,496 owned after | $2.22 | 2021-01-05 | |
| 2020-12-31 | Gosebruch Henry O Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,339 5,339 owned after | $2.22 | 2021-01-05 | |
| 2020-12-31 | ENRIGHT PATRICK G Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,149 8,149 owned after | $2.22 | 2021-01-05 | |
| 2020-12-14 | KIDD ANDREW Officer (PRESIDENT & COO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +415,000 415,000 owned after | $3.39 exercise price | 2020-12-16 | |
| 2020-09-30 | Koppel Adam Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,663 5,663 owned after | $2.16 | 2020-10-02 | |
| 2020-09-30 | 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) | +4,623 4,623 owned after | $2.16 | 2020-10-02 | |
| 2020-09-30 | HOMBACH ROBERT J. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,779 5,779 owned after | $2.16 | 2020-10-02 | |
| 2020-09-30 | 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) | +4,623 4,623 owned after | $2.16 | 2020-10-02 | |
| 2020-09-30 | Gosebruch Henry O Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,490 5,490 owned after | $2.16 | 2020-10-02 | |
| 2020-09-30 | ENRIGHT PATRICK G Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,379 8,379 owned after | $2.16 | 2020-10-02 | |
| 2020-06-30 | 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) | +3,735 3,735 owned after | $2.68 | 2020-07-02 | |
| 2020-06-30 | Gosebruch Henry O Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,051 4,051 owned after | $2.68 | 2020-07-02 | |
| 2020-06-30 | Koppel Adam Director, 10% Owner | 4 | Stock Option (Right Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,370 4,370 owned after | $2.68 | 2020-07-02 | |
| 2020-06-30 | ENRIGHT PATRICK G Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,436 5,436 owned after | $2.68 | 2020-07-02 | |
| 2020-06-30 | HOMBACH ROBERT J. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,669 4,669 owned after | $2.68 | 2020-07-02 | |
| 2020-06-30 | 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) | +3,735 3,735 owned after | $2.68 | 2020-07-02 | |
| 2020-05-20 | Koppel Adam 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 | $3.84 exercise price | 2020-05-22 | |
| 2020-05-20 | Sherman Rachel E. 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 | $3.84 exercise price | 2020-05-22 | |
| 2020-05-20 | 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 | $3.84 exercise price | 2020-05-22 | |
| 2020-05-20 | Gosebruch Henry O 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 | $3.84 exercise price | 2020-05-22 | |
| 2020-05-20 | 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 | $3.84 exercise price | 2020-05-22 | |
| 2020-05-20 | 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 | $3.84 exercise price | 2020-05-22 | |
| 2020-03-31 | Koppel Adam Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,296 8,296 owned after | $1.36 | 2020-04-02 | |
| 2020-03-31 | GANTZ WILBUR H Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,366 13,366 owned after | $1.36 | 2020-04-02 | |
| 2020-03-31 | ENRIGHT PATRICK G Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,573 8,573 owned after | $1.36 | 2020-04-02 | |
| 2020-03-31 | Gosebruch Henry O Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,374 7,374 owned after | $1.36 | 2020-04-02 | |
| 2020-03-31 | HOMBACH ROBERT J. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,218 9,218 owned after | $1.36 | 2020-04-02 | |
| 2020-03-31 | 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) | +7,374 7,374 owned after | $1.36 | 2020-04-02 | |
| 2020-03-31 | 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) | +7,374 7,374 owned after | $1.36 | 2020-04-02 | |
| 2020-02-26 | 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) | +230,000 230,000 owned after | $3.12 exercise price | 2020-02-28 | |
| 2020-02-26 | 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) | +255,000 255,000 owned after | $3.12 exercise price | 2020-02-28 | |
| 2020-02-26 | 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) | +625,000 625,000 owned after | $3.12 exercise price | 2020-02-28 |