Echo Therapeutics, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 75 rows, 75 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-03-21: Reporting owner SCHOENBART ALAN WAYNE; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-03-21: Reporting owner GOLDBERG SHEPARD M; Form 4/A; Security Options (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-03-21: Reporting owner GOLDBERG MICHAEL M; Form 4/A; Security Options (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-03-01: Reporting owner Edelman Elazer R; Form 4/A; Security Options (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 |
|---|---|---|---|---|---|---|---|---|
| 2017-03-21 | SCHOENBART ALAN WAYNE Director, Officer (CEO, CFO AND SECRETARY) | 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 | $0.16 exercise price | 2017-03-22 | |
| 2016-03-21 | GOLDBERG SHEPARD M Director | 4/A | Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 18,750 owned after | $2.00 exercise price | 2016-03-22 | |
| 2016-03-21 | GOLDBERG MICHAEL M Director | 4/A | Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 18,750 owned after | $2.00 exercise price | 2016-03-22 | |
| 2016-03-01 | Edelman Elazer R Director | 4/A | Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 37,500 owned after | $1.12 exercise price | 2016-03-22 | |
| 2016-03-01 | Hollander Scott Wayne Director, Officer (PRESIDENT AND CEO) | 4 | Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +175,000 58,333 owned after | $1.12 exercise price | 2016-03-03 | |
| 2016-03-01 | GOLDBERG SHEPARD M Director | 4 | Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 37,500 owned after | $1.12 exercise price | 2016-03-03 | |
| 2016-03-01 | GOLDBERG MICHAEL M Director | 4 | Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 37,500 owned after | $1.12 exercise price | 2016-03-03 | |
| 2016-03-01 | SCHOENBART ALAN WAYNE Officer (CFO AND SECRETARY) | 4 | Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 50,000 owned after | $1.12 exercise price | 2016-03-03 | |
| 2016-03-01 | Edelman Elazer R Director | 4 | Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 37,500 owned after | $1.12 exercise price | 2016-03-03 | |
| 2015-01-07 | GOLDBERG SHEPARD M Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $1.62 | 2015-01-12 | |
| 2015-01-07 | GOLDBERG MICHAEL M Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $1.62 | 2015-01-12 | |
| 2015-01-07 holding as of filing | SCHOENBART ALAN WAYNE Officer (CFO and Secretary) | 3 | Options Derivative · Direct | Holding | $1.54 exercise price | 2015-01-07 | ||
| 2015-01-07 holding as of filing | Hollander Scott Wayne Director, Officer (President and CEO) | 3 | Options Derivative · Direct | Holding | $1.47 exercise price | 2015-01-07 | ||
| 2014-07-10 | GOLDBERG SHEPARD M Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,000 28,000 owned after | $2.11 exercise price | 2014-07-14 | |
| 2014-02-28 | GOLDBERG MICHAEL M Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +56,000 56,000 owned after | $3.19 exercise price | 2014-03-17 | |
| 2013-12-18 | SMITH JAMES FRANCIS Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +56,000 60,500 owned after | $2.98 exercise price | 2014-01-03 | |
| 2013-12-18 | GRIECO WILLIAM Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +56,000 60,500 owned after | $2.98 exercise price | 2014-01-03 | |
| 2013-12-18 | ENRIGHT VINCENT D Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +56,000 70,500 owned after | $2.98 exercise price | 2014-01-03 | |
| 2013-10-01 | ENRIGHT VINCENT D Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,500 14,500 owned after | $2.76 exercise price | 2013-10-02 | |
| 2013-10-01 | SMITH JAMES FRANCIS Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,500 4,500 owned after | $2.76 exercise price | 2013-10-02 | |
| 2013-10-01 | GRIECO WILLIAM Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,500 4,500 owned after | $2.76 exercise price | 2013-10-02 | |
| 2013-10-01 | Doman Robert F Director, Officer (EXEC. CHAIRMAN AND INTERIM CEO) | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,500 4,500 owned after | $2.76 exercise price | 2013-10-02 | |
| 2013-07-01 | Doman Robert F Director | 4/A | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,500 3,000 owned after | $2.49 exercise price | 2013-07-09 | |
| 2013-07-01 | ENRIGHT VINCENT D Director | 4/A | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,500 13,000 owned after | $2.49 exercise price | 2013-07-09 | |
| 2013-07-01 | SMITH JAMES FRANCIS Director | 4/A | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,500 3,000 owned after | $2.49 exercise price | 2013-07-09 | |
| 2013-07-01 | GRIECO WILLIAM Director | 4/A | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,500 3,000 owned after | $2.49 exercise price | 2013-07-09 | |
| 2013-07-01 | Doman Robert F Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,500 16,500 owned after | $2.49 exercise price | 2013-07-02 | |
| 2013-07-01 | SMITH JAMES FRANCIS Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,500 16,500 owned after | $2.49 exercise price | 2013-07-02 | |
| 2013-07-01 | GRIECO WILLIAM Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,500 16,500 owned after | $2.49 exercise price | 2013-07-02 | |
| 2013-07-01 | ENRIGHT VINCENT D Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,500 116,500 owned after | $2.49 exercise price | 2013-07-02 | |
| 2013-04-09 | GRIECO WILLIAM Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $0.79 exercise price | 2013-04-11 | |
| 2013-04-09 | SMITH JAMES FRANCIS Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $0.79 exercise price | 2013-04-11 | |
| 2013-04-09 | Doman Robert F Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $0.79 exercise price | 2013-04-11 | |
| 2013-04-09 | ENRIGHT VINCENT D Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 115,000 owned after | $0.79 exercise price | 2013-04-11 | |
| 2011-10-14 holding as of filing | BURKE KIMBERLY A Officer (General Counsel) | 3 | Nonqualified Stock Option (Right to Buy) Derivative · Direct | Holding | $0.40 exercise price | 2011-10-14 | ||
| 2011-10-14 holding as of filing | BURKE KIMBERLY A Officer (General Counsel) | 3 | Incentive Stock Option (Right to Buy) Derivative · Direct | Holding | $0.40 exercise price | 2011-10-14 | ||
| 2011-10-14 holding as of filing | BURKE KIMBERLY A Officer (General Counsel) | 3 | Incentive Stock Option (Right to Buy) Derivative · Direct | Holding | $0.40 exercise price | 2011-10-14 | ||
| 2011-05-16 | SCHNITTKER CHRISTOPHER P. Officer (CFO) | 4 | Common Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $4.09 exercise price | 2011-05-18 | |
| 2009-02-20 | Witoshkin Walter W Director | 5 | Non-qualified stock options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 444,521 owned after | $0.55 | 2010-04-30 | |
| 2009-02-20 | Singh Shawn Director | 5 | Non-qualified stock options Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −500,000 1,225,907 owned after | $2.39 | 2010-04-30 | |
| 2009-02-20 | ENRIGHT VINCENT D Director | 5 | Non-qualified stock option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 133,334 owned after | $0.55 | 2010-04-30 | |
| 2009-02-20 | MOONEY PATRICK T Director, Officer (CEO and President) | 5 | Non-qualified stock option Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +500,000 1,850,907 owned after | $2.39 | 2010-04-30 | |
| 2009-02-20 | Mitchell Harry Officer (CFO and COO) | 5 | Non-qualified stock option Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −250,000 892,687 owned after | $2.39 | 2010-04-30 | |
| 2008-05-30 | Mitchell Harry Officer (CFO and COO) | 5 | Non-qualified stock options Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | +12,500 892,687 owned after | $0.21 | 2010-04-30 | |
| 2008-03-25 | ENRIGHT VINCENT D Director | 4 | Employee 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 | $1.55 exercise price | 2008-03-27 | |
| 2008-01-18 | WIGLEY MICHAEL Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | +133,334 66,666 owned after | $0.00 | 2008-01-30 | |
| 2007-12-22 | Witoshkin Walter W Director | 4 | Nonqualified 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 | $1.39 exercise price | 2007-12-27 | |
| 2007-12-22 | WIGLEY MICHAEL Director | 4 | Nonqualified 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 | $1.39 exercise price | 2007-12-27 | |
| 2007-12-22 | Singh Shawn Director, Officer (President (interim)) | 4 | Nonqualified 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 | $1.39 exercise price | 2007-12-27 | |
| 2007-12-22 | MOONEY PATRICK T Director, Officer (Chief Executive Officer) | 4 | Nonqualified 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 | $1.39 exercise price | 2007-12-27 | |
| 2007-12-22 | Mitchell Harry Officer (Chief Operating Officer/ CFO) | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 300,000 owned after | $1.39 exercise price | 2007-12-27 | |
| 2007-12-22 | LANGER ROBERT Director | 4 | Nonqualified 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 | $1.39 exercise price | 2007-12-27 | |
| 2007-09-14 | Mitchell Harry Officer (Chief Operating Officer & CFO) | 4 | Employee 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 | $2.39 exercise price | 2007-09-17 | |
| 2007-09-14 | MOONEY PATRICK T Director, Officer (Chief Executive Officer) | 4 | Employee 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 | $2.39 exercise price | 2007-09-17 | |
| 2007-09-14 | Singh Shawn Director, Officer (President (Interim)) | 4 | Employee 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 | $2.39 exercise price | 2007-09-17 | |
| 2007-05-22 | AMARAL JOSEPH Director | 4 | Director Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $1.33 exercise price | 2007-05-24 | |
| 2007-05-22 | LANGER ROBERT Director | 4 | Director Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $1.33 exercise price | 2007-05-24 | |
| 2007-05-22 | PUORRO GERARD E Director | 4 | Director Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $1.33 exercise price | 2007-05-24 | |
| 2007-05-22 | WIGLEY MICHAEL Director | 4 | Director 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 | $1.33 exercise price | 2007-05-24 | |
| 2007-05-22 | Witoshkin Walter W Director | 4 | Director Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $1.33 exercise price | 2007-05-24 | |
| 2007-03-13 | Mitchell Harry Officer (Interim CEO and CFO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $1.54 exercise price | 2007-03-15 | |
| 2007-02-14 | Witoshkin Walter W Director | 4 | Director 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 | $0.62 exercise price | 2007-02-16 | |
| 2007-01-02 | Mitchell Harry Officer (Interim CEO and Acting CFO) | 4 | Employee 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 | $0.21 exercise price | 2007-01-04 | |
| 2006-05-23 | AMARAL JOSEPH Director | 4 | Director Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $0.25 exercise price | 2006-05-25 | |
| 2006-05-23 | KOHLER GARY S Director | 4 | Director Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $0.25 exercise price | 2006-05-25 | |
| 2006-05-23 | LANGER ROBERT Director | 4 | Director Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $0.25 exercise price | 2006-05-25 | |
| 2006-05-23 | PUORRO GERARD E Director | 4 | Director Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $0.25 exercise price | 2006-05-25 | |
| 2006-05-23 | SULLIVAN BRIAN F Director | 4 | Director Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $0.25 exercise price | 2006-05-25 | |
| 2006-05-23 | WIGLEY MICHAEL Director | 4 | Director 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 | $0.25 exercise price | 2006-05-25 | |
| 2006-05-23 | MORAN SEAN Officer (Chief Financial Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +81,911 81,911 owned after | $0.25 exercise price | 2006-05-25 | |
| 2006-05-23 | Marston Barry Officer (VP of Sales & Marketing) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +61,433 61,433 owned after | $0.25 exercise price | 2006-05-25 | |
| 2006-05-23 | DAVISON THOMAS W Director, Officer (President and CEO) | 4 | Employee 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 | $0.25 exercise price | 2006-05-25 | |
| 2006-03-15 | MORAN SEAN Officer (Chief Financial Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +118,089 118,089 owned after | $0.51 exercise price | 2006-03-20 | |
| 2006-03-15 | DAVISON THOMAS W Director, Officer (President and CEO) | 4 | Employee 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 | $0.51 exercise price | 2006-03-20 | |
| 2006-03-15 | Marston Barry Officer (VP of Sales & Marketing) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +88,567 88,567 owned after | $0.51 exercise price | 2006-03-20 |