ARADIGM CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 6 rows in 2009. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-05-15: Reporting owner THOMPSON VIRGIL; Form 4; Security Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-05-15: Reporting owner SIEBERT JOHN M; Form 4; Security Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-05-15: Reporting owner BARKER FRANK H; Form 4; Security Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2009-01-21: Reporting owner PECOTA NANCY E; Form 4; Security 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 |
|---|---|---|---|---|---|---|---|---|
| 2009-05-15 | THOMPSON VIRGIL Director | 4 | Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $0.16 exercise price | 2009-05-20 | |
| 2009-05-15 | SIEBERT JOHN M Director | 4 | Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $0.16 exercise price | 2009-05-19 | |
| 2009-05-15 | BARKER FRANK H Director | 4 | Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $0.16 exercise price | 2009-05-19 | |
| 2009-01-21 | PECOTA NANCY E Officer (VP and CFO) | 4 | Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $0.25 exercise price | 2009-01-23 | |
| 2009-01-21 | Grimes D Jeffery Officer (VP Legal Affairs, Secretary) | 4 | Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $0.25 exercise price | 2009-01-23 | |
| 2009-01-21 | GONDA IGOR Director, Officer (Chief Executive Officer) | 4 | Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +350,000 3,500,000 owned after | $0.25 exercise price | 2009-01-23 |