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 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-12-26: Reporting owner Froehlich Juergen Kurt; Form 3; Security Option (Right to Buy); Transaction Holding.
- 2013-12-13: Reporting owner THOMPSON VIRGIL; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-05-22: Reporting owner SIEBERT JOHN M; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-05-22: Reporting owner THOMPSON VIRGIL; 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 |
|---|---|---|---|---|---|---|---|---|
| 2013-12-26 holding as of filing | Froehlich Juergen Kurt Officer (Chief Medical Officer) | 3 | Option (Right to Buy) Derivative · Direct | Holding | $0.18 exercise price | 2013-12-26 | ||
| 2013-12-13 | THOMPSON VIRGIL Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 190,000 owned after | $0.16 exercise price | 2013-12-16 | |
| 2013-05-22 | SIEBERT JOHN M Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +140,000 140,000 owned after | $0.15 exercise price | 2013-06-24 | |
| 2013-05-22 | THOMPSON VIRGIL Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +140,000 140,000 owned after | $0.15 exercise price | 2013-06-24 | |
| 2013-05-22 | BARKER FRANK H Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +140,000 140,000 owned after | $0.15 exercise price | 2013-06-24 | |
| 2013-05-22 | Short Helen E Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +140,000 140,000 owned after | $0.15 exercise price | 2013-06-24 |