CELCUITY INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 11 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-11-29: Reporting owner NIGON RICHARD; Form 4; Security Stock Option (right to buy); Transaction Holding.
- 2017-11-22: Reporting owner NIGON RICHARD; Form 4; Security Stock Option (right to buy); Transaction Holding.
- 2017-10-19: Reporting owner NIGON RICHARD; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-10-19: Reporting owner Dalvey David; 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 |
|---|---|---|---|---|---|---|---|---|
| 2017-11-29 holding as of filing | NIGON RICHARD Director | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 8,200 owned after | $16.23 exercise price | 2017-11-29 | |
| 2017-11-22 holding as of filing | NIGON RICHARD Director | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 8,200 owned after | $16.23 exercise price | 2017-11-22 | |
| 2017-10-19 | NIGON RICHARD Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,200 8,200 owned after | $16.23 exercise price | $16.23 | 2017-10-23 |
| 2017-10-19 | Dalvey David Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,200 8,200 owned after | $16.23 exercise price | $16.23 | 2017-10-23 |
| 2017-10-16 holding as of filing | Laing Lance G. Director, Officer (Chief Science Officer), 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 16,125 owned after | $8.40 exercise price | 2017-10-16 | |
| 2017-10-16 holding as of filing | SULLIVAN BRIAN F Director, Officer (Chief Executive Officer), 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | Holding | 21,500 owned after | $8.40 exercise price | 2017-10-16 | |
| 2017-09-19 | Laing Lance G. Director, Officer (Chief Science Officer), 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,110 4,110 owned after | $9.50 exercise price | 2017-10-16 | |
| 2017-09-19 | SULLIVAN BRIAN F Director, Officer (Chief Executive Officer), 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,220 8,220 owned after | $9.50 exercise price | 2017-10-16 | |
| 2017-09-19 holding as of filing | Hahne Vicky Officer (Chief Financial Officer) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $8.40 exercise price | 2017-09-19 | ||
| 2017-09-19 holding as of filing | Laing Lance G. Director, Officer (Chief Science Officer, VP), 10% Owner | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $8.40 exercise price | 2017-09-19 | ||
| 2017-09-19 holding as of filing | SULLIVAN BRIAN F Director, Officer (Chief Executive Officer), 10% Owner | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $8.40 exercise price | 2017-09-19 |
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