ARADIGM CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 9 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-12-06: Reporting owner GONDA IGOR; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-12-06: Reporting owner PECOTA NANCY E; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-12-06: 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).
- 2017-06-01: 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).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-12-06 | 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) | +60,000 60,000 owned after | $4.02 exercise price | 2017-12-08 | |
| 2017-12-06 | 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) | +40,000 40,000 owned after | $4.02 exercise price | 2017-12-08 | |
| 2017-12-06 | 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) | +50,000 50,000 owned after | $4.02 exercise price | 2017-12-08 | |
| 2017-06-01 | SIEBERT JOHN M Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +110,485 110,485 owned after | $1.39 exercise price | 2017-06-05 | |
| 2017-06-01 | Hudson Frederick M. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +110,485 110,485 owned after | $1.39 exercise price | 2017-06-05 | |
| 2017-06-01 | THOMPSON VIRGIL Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +110,485 110,485 owned after | $1.39 exercise price | 2017-06-05 | |
| 2017-03-03 | 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) | +95,699 95,699 owned after | $1.94 exercise price | 2017-03-07 | |
| 2017-03-03 | 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) | +80,994 80,994 owned after | $1.94 exercise price | 2017-03-07 | |
| 2017-03-03 | 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) | +123,708 123,708 owned after | $1.94 exercise price | 2017-03-07 |