COMPLETE GENOMICS INC Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 73 rows, 73 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-03-18: Reporting owner WAITE CHARLES P JR; Form 4; Security Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2013-03-18: Reporting owner WALL ROBERT T; Form 4; Security Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2013-03-18: Reporting owner Shuster Lewis; Form 4; Security Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2013-03-18: Reporting owner Shuster Lewis; Form 4; Security Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-03-18 | WAITE CHARLES P JR Director | 4 | Stock Option (right to buy) Derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −8,000 0 owned after | $1.24 | 2013-03-18 | |
| 2013-03-18 | WALL ROBERT T Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −8,000 0 owned after | $1.24 | 2013-03-18 | |
| 2013-03-18 | Shuster Lewis Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,500 0 owned after | $0.46 | 2013-03-18 | |
| 2013-03-18 | Shuster Lewis Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $0.72 | 2013-03-18 | |
| 2013-03-18 | Shuster Lewis Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −8,000 0 owned after | $1.24 | 2013-03-18 | |
| 2013-03-18 | REID CLIFFORD A Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −50,666 0 owned after | $1.65 | 2013-03-18 | |
| 2013-03-18 | REID CLIFFORD A Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,090 0 owned after | $1.65 | 2013-03-18 | |
| 2013-03-18 | REID CLIFFORD A Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −341,667 0 owned after | $1.65 | 2013-03-18 | |
| 2013-03-18 | REID CLIFFORD A Director, Officer (President & CEO) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −250,000 0 owned after | $0.14 | 2013-03-18 | |
| 2013-03-18 | RAFFEL KEITH Officer (SVP & Chief Commercial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −50,000 0 owned after | $0.14 | 2013-03-18 | |
| 2013-03-18 | HOMAN ARTHUR W Officer (SVP, Gen. Counsel & Secretary) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −100,000 0 owned after | $0.14 | 2013-03-18 | |
| 2013-03-18 | DRMANAC RADOJE T Officer (Chief Scientific Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −36,666 0 owned after | $1.65 | 2013-03-18 | |
| 2013-03-18 | DRMANAC RADOJE T Officer (Chief Scientific Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,864 0 owned after | $1.65 | 2013-03-18 | |
| 2013-03-18 | DRMANAC RADOJE T Officer (Chief Scientific Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −168,501 0 owned after | $1.65 | 2013-03-18 | |
| 2013-03-18 | DRMANAC RADOJE T Officer (Chief Scientific Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −50,000 0 owned after | $0.14 | 2013-03-18 | |
| 2013-03-18 | CASKEY C THOMAS Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,500 0 owned after | $0.46 | 2013-03-18 | |
| 2013-03-18 | CASKEY C THOMAS Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −10,000 0 owned after | $0.72 | 2013-03-18 | |
| 2013-03-18 | CASKEY C THOMAS Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −8,000 0 owned after | $1.24 | 2013-03-18 | |
| 2013-03-18 | BANSAL AJAY Officer (SVP & Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −128,000 0 owned after | $0.46 | 2013-03-18 | |
| 2013-03-18 | BANSAL AJAY Officer (SVP & Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −50,000 0 owned after | $0.14 | 2013-03-18 | |
| 2012-06-22 | SENYEI ANDREW E Director, 10% Owner | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $1.91 exercise price | 2012-06-26 | |
| 2012-06-22 | CASKEY C THOMAS Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $1.91 exercise price | 2012-06-26 | |
| 2012-06-22 | WAITE CHARLES P JR Director, 10% Owner | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $1.91 exercise price | 2012-06-26 | |
| 2012-06-22 | Shuster Lewis Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $1.91 exercise price | 2012-06-26 | |
| 2012-06-22 | WALL ROBERT T Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $1.91 exercise price | 2012-06-26 | |
| 2012-04-02 | HOMAN ARTHUR W Officer (SVP & General Counsel) | 4 | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $3.01 exercise price | 2012-04-04 | |
| 2012-04-02 | REID CLIFFORD A Director, Officer (President & CEO) | 4 | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $3.01 exercise price | 2012-04-04 | |
| 2012-04-02 | BANSAL AJAY Officer (SVP & Chief Financial 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 | $3.01 exercise price | 2012-04-04 | |
| 2012-04-02 | DRMANAC RADOJE T Officer (Chief Scientific 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 | $3.01 exercise price | 2012-04-04 | |
| 2012-04-02 | Martin Bruce K Officer (SVP, Product Development) | 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 | $3.01 exercise price | 2012-04-04 | |
| 2012-04-02 | RAFFEL KEITH Officer (SVP & Chief Commercial 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 | $3.01 exercise price | 2012-04-04 | |
| 2011-10-27 | DRMANAC RADOJE T Officer (Chief Scientific Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −30,000 36,666 owned after | $1.50 exercise price | 2011-10-28 | |
| 2011-10-27 | DRMANAC RADOJE T Officer (Chief Scientific Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 168,501 owned after | $1.50 exercise price | 2011-10-28 | |
| 2011-09-21 | REID CLIFFORD A Director, Officer (Chief Executive Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,000 50,666 owned after | $1.50 exercise price | 2011-09-22 | |
| 2011-09-20 | REID CLIFFORD A Director, Officer (Chief Executive Officer) | 4 | Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,000 58,666 owned after | $1.50 exercise price | 2011-09-22 | |
| 2011-06-29 holding as of filing | RAFFEL KEITH Officer (SVP & Chief Commercial Officer) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $15.20 exercise price | 2011-06-29 | ||
| 2011-06-20 | DRMANAC RADOJE T Officer (Chief Scientific 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 | $15.21 exercise price | 2011-06-21 | |
| 2011-04-11 | Sutherland Mark J. Officer (SVP, Business Development) | 4/A | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +51,000 51,000 owned after | $11.13 exercise price | 2012-02-14 | |
| 2011-04-11 | Martin Bruce K Officer (SVP, Product Development) | 4/A | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $11.13 exercise price | 2012-02-14 | |
| 2011-04-11 | DRMANAC RADOJE T Officer (Chief Scientific Officer) | 4/A | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −84,000 84,000 owned after | $11.13 exercise price | 2012-02-14 | |
| 2011-04-11 | BANSAL AJAY Officer (Chief Financial Officer) | 4/A | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +70,000 70,000 owned after | $11.13 exercise price | 2012-02-14 | |
| 2011-04-11 | REID CLIFFORD A Director, Officer (Chief Executive Officer) | 4/A | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $11.13 exercise price | 2012-02-14 | |
| 2011-04-11 | REID CLIFFORD A 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) | −150,000 150,000 owned after | $11.13 exercise price | 2011-04-13 | |
| 2011-04-11 | BANSAL AJAY Officer (Chief Financial Officer) | 4 | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −70,000 70,000 owned after | $11.13 exercise price | 2011-04-13 | |
| 2011-04-11 | DRMANAC RADOJE T Officer (Chief Scientific Officer) | 4 | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −84,000 84,000 owned after | $11.13 exercise price | 2011-04-13 | |
| 2011-04-11 | Sutherland Mark J. Officer (SVP, Business Development) | 4 | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −51,000 51,000 owned after | $11.13 exercise price | 2011-04-13 | |
| 2011-04-11 | Martin Bruce K Officer (SVP, Product Development) | 4 | Stock Option (Right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −100,000 100,000 owned after | $11.13 exercise price | 2011-04-13 | |
| 2011-02-09 | Martin Bruce K Officer (SVP of Product Development) | 4 | Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −631 362 owned after | $1.50 exercise price | 2011-03-01 | |
| 2011-02-09 | Martin Bruce K Officer (SVP of Product Development) | 4 | Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,507 3,148 owned after | $1.50 exercise price | 2011-03-01 | |
| 2011-02-09 | Martin Bruce K Officer (SVP of Product Development) | 4 | Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −15,222 27,758 owned after | $1.50 exercise price | 2011-03-01 | |
| 2011-02-09 | Martin Bruce K Officer (SVP of Product Development) | 4 | Stock Option (Right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −375 1,449 owned after | $1.50 exercise price | 2011-03-01 | |
| 2010-11-30 | BARKAS ALEXANDER E Director, 10% Owner | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $7.75 exercise price | 2010-12-02 | |
| 2010-11-30 | SENYEI ANDREW E Director, 10% Owner | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $7.75 exercise price | 2010-12-02 | |
| 2010-11-30 | GORDON CARL L Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $7.75 exercise price | 2010-12-02 | |
| 2010-11-30 | WAITE CHARLES P JR Director, 10% Owner | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $7.75 exercise price | 2010-12-02 | |
| 2010-11-10 holding as of filing | BANSAL AJAY Officer (Chief Financial Officer) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $2.69 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | Martin Bruce K Officer (SVP of Product Development) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | Martin Bruce K Officer (SVP of Product Development) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | Martin Bruce K Officer (SVP of Product Development) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | Martin Bruce K Officer (SVP of Product Development) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | Martin Bruce K Officer (SVP of Product Development) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $2.69 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | CASKEY C THOMAS Director | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $2.43 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | CASKEY C THOMAS Director | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $2.69 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | REID CLIFFORD A Director, Officer (President, CEO & Director) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | REID CLIFFORD A Director, Officer (President, CEO & Director) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | REID CLIFFORD A Director, Officer (President, CEO & Director) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | Shuster Lewis Director | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $2.43 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | Shuster Lewis Director | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $2.69 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | Sutherland Mark J. Officer (SVP of Business Development) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | WALL ROBERT T Director | 3 | Stock Option (right to buy) Derivative · Direct · (m) | Holding | $6.85 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | DRMANAC RADOJE T Officer (Chief Scientific Officer) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | DRMANAC RADOJE T Officer (Chief Scientific Officer) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $1.50 exercise price | 2010-11-10 | ||
| 2010-11-10 holding as of filing | DRMANAC RADOJE T Officer (Chief Scientific Officer) | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $1.50 exercise price | 2010-11-10 |