ARADIGM CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 21 rows in 2015. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-11-12: 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).
- 2015-11-12: 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).
- 2015-11-12: 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).
- 2015-09-01: Reporting owner PECOTA NANCY E; Form 4; Security Stock Option (Right to Buy); Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-11-12 | THOMPSON VIRGIL Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,940 19,940 owned after | $6.50 exercise price | 2015-11-16 | |
| 2015-11-12 | SIEBERT JOHN M Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,940 19,940 owned after | $6.50 exercise price | 2015-11-16 | |
| 2015-11-12 | Hudson Frederick M. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,940 19,940 owned after | $6.50 exercise price | 2015-11-16 | |
| 2015-09-01 | PECOTA NANCY E Officer (VP and CFO) | 4 | Stock Option (Right to Buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | −37,500 0 owned after | $9.60 exercise price | 2015-09-08 | |
| 2015-09-01 | PECOTA NANCY E Officer (VP and CFO) | 4 | Stock Option (Right to Buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | −8,750 0 owned after | $9.60 exercise price | 2015-09-08 | |
| 2015-09-01 | 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) | +37,499 37,499 owned after | $9.60 exercise price | 2015-09-08 | |
| 2015-09-01 | 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) | +8,749 8,749 owned after | $9.60 exercise price | 2015-09-08 | |
| 2015-09-01 | Froehlich Juergen Kurt Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | −37,500 0 owned after | $9.60 exercise price | 2015-09-08 | |
| 2015-09-01 | Froehlich Juergen Kurt Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | −8,750 0 owned after | $9.60 exercise price | 2015-09-08 | |
| 2015-09-01 | 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) | +37,499 37,499 owned after | $9.60 exercise price | 2015-09-08 | |
| 2015-09-01 | 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) | +8,750 8,750 owned after | $9.60 exercise price | 2015-09-08 | |
| 2015-09-01 | GONDA IGOR Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | −62,500 0 owned after | $9.60 exercise price | 2015-09-08 | |
| 2015-09-01 | GONDA IGOR Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | −12,500 0 owned after | $9.60 exercise price | 2015-09-08 | |
| 2015-09-01 | 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) | +62,500 62,500 owned after | $9.60 exercise price | 2015-09-08 | |
| 2015-09-01 | GONDA IGOR Director, Officer (Chief Executive Officer) | 4 | StockOption (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $9.60 exercise price | 2015-09-08 | |
| 2015-03-13 | 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) | +20,750 20,750 owned after | $7.19 exercise price | 2015-03-17 | |
| 2015-03-13 | 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) | +27,666 27,666 owned after | $7.19 exercise price | 2015-03-17 | |
| 2015-03-13 | 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) | +25,246 25,246 owned after | $7.19 exercise price | 2015-03-17 | |
| 2015-01-26 | 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) | +42,857 42,857 owned after | $7.70 exercise price | 2015-01-27 | |
| 2015-01-26 | 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) | +17,857 17,857 owned after | $7.70 exercise price | 2015-01-27 | |
| 2015-01-26 | 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) | +11,429 11,429 owned after | $7.70 exercise price | 2015-01-27 |