ARADIGM CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 13 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-10-16: Reporting owner Froehlich Juergen Kurt; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-04-18: 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).
- 2014-04-18: 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).
- 2014-04-18: Reporting owner Hudson Frederick M.; 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 |
|---|---|---|---|---|---|---|---|---|
| 2014-10-16 | Froehlich Juergen Kurt Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +38,500 38,500 owned after | $7.89 exercise price | 2014-10-17 | |
| 2014-04-18 | SIEBERT JOHN M Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +225,000 225,000 owned after | $0.22 exercise price | 2014-04-22 | |
| 2014-04-18 | THOMPSON VIRGIL Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +225,000 225,000 owned after | $0.22 exercise price | 2014-04-22 | |
| 2014-04-18 | Hudson Frederick M. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $0.22 exercise price | 2014-04-22 | |
| 2014-04-18 | Hudson Frederick M. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +225,000 225,000 owned after | $0.22 exercise price | 2014-04-22 | |
| 2014-02-13 | GONDA IGOR Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,300,000 2,300,000 owned after | $0.24 exercise price | 2014-02-18 | |
| 2014-02-13 | GONDA IGOR Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500,000 2,500,000 owned after | $0.24 exercise price | 2014-02-18 | |
| 2014-02-13 | GONDA IGOR Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500,000 500,000 owned after | $0.24 exercise price | 2014-02-18 | |
| 2014-02-13 | PECOTA NANCY E Officer (VP and CFO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,100,000 1,100,000 owned after | $0.24 exercise price | 2014-02-18 | |
| 2014-02-13 | PECOTA NANCY E Officer (VP and CFO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,500,000 1,500,000 owned after | $0.24 exercise price | 2014-02-18 | |
| 2014-02-13 | PECOTA NANCY E Officer (VP and CFO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +350,000 350,000 owned after | $0.24 exercise price | 2014-02-18 | |
| 2014-02-13 | Froehlich Juergen Kurt Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,500,000 1,500,000 owned after | $0.24 exercise price | 2014-02-18 | |
| 2014-02-13 | Froehlich Juergen Kurt Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +350,000 350,000 owned after | $0.24 exercise price | 2014-02-18 |