eFFECTOR Therapeutics, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 74 rows, 74 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2024-06-13: Reporting owner Loewy Caroline M; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2024-06-13: Reporting owner Klencke Barbara; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2024-06-13: Reporting owner Ehrlich Christopher B; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2024-06-13: Reporting owner Harrington-Smith Kristen; 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 |
|---|---|---|---|---|---|---|---|---|
| 2024-06-13 | Loewy Caroline M Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +800 800 owned after | $1.38 exercise price | 2024-06-13 | |
| 2024-06-13 | Klencke Barbara Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +800 800 owned after | $1.38 exercise price | 2024-06-13 | |
| 2024-06-13 | Ehrlich Christopher B Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +800 800 owned after | $1.38 exercise price | 2024-06-13 | |
| 2024-06-13 | Harrington-Smith Kristen Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +800 800 owned after | $1.38 exercise price | 2024-06-13 | |
| 2024-06-13 | Gallagher Brian M. Jr. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +800 800 owned after | $1.38 exercise price | 2024-06-13 | |
| 2024-06-13 | Bhatt Elizabeth Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +800 800 owned after | $1.38 exercise price | 2024-06-13 | |
| 2024-02-19 | Loewy Caroline M Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 2,000 owned after | $11.32 exercise price | 2024-02-21 | |
| 2024-02-19 | Bhatt Elizabeth Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 2,000 owned after | $11.32 exercise price | 2024-02-21 | |
| 2024-02-19 | Ehrlich Christopher B Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 2,000 owned after | $11.32 exercise price | 2024-02-21 | |
| 2024-02-19 | Klencke Barbara Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 2,000 owned after | $11.32 exercise price | 2024-02-21 | |
| 2024-02-19 | Harrington-Smith Kristen Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 2,000 owned after | $11.32 exercise price | 2024-02-21 | |
| 2024-02-19 | Gallagher Brian M. Jr. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,000 2,000 owned after | $11.32 exercise price | 2024-02-21 | |
| 2024-02-19 | Byrnes Michael Officer (Chief Financial Officer) | 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 | $11.32 exercise price | 2024-02-21 | |
| 2024-02-19 | Warner Douglas J Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $11.32 exercise price | 2024-02-21 | |
| 2024-02-19 | WORLAND STEPHEN T 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) | +80,000 80,000 owned after | $11.32 exercise price | 2024-02-21 | |
| 2023-09-09 | Loewy Caroline M Director | 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 | $0.65 exercise price | 2023-09-11 | |
| 2023-08-11 | WORLAND STEPHEN T 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 | −33,799 0 owned after | $0.52 exercise price | 2023-08-14 | |
| 2023-06-22 | Smither John W Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $0.82 exercise price | 2023-06-22 | |
| 2023-06-22 | Klencke Barbara Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $0.82 exercise price | 2023-06-22 | |
| 2023-06-22 | Harrington-Smith Kristen Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $0.82 exercise price | 2023-06-22 | |
| 2023-06-22 | Gallagher Brian M. Jr. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $0.82 exercise price | 2023-06-22 | |
| 2023-06-22 | Ehrlich Christopher B Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $0.82 exercise price | 2023-06-22 | |
| 2023-06-22 | Bhatt Elizabeth Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $0.82 exercise price | 2023-06-22 | |
| 2023-01-20 | Gallagher Brian M. Jr. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,938 50,938 owned after | $0.47 exercise price | 2023-01-24 | |
| 2023-01-20 | Smither John W Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +36,875 36,875 owned after | $0.47 exercise price | 2023-01-24 | |
| 2023-01-20 | Harrington-Smith Kristen Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,125 28,125 owned after | $0.47 exercise price | 2023-01-24 | |
| 2023-01-20 | Klencke Barbara Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,125 28,125 owned after | $0.47 exercise price | 2023-01-24 | |
| 2023-01-20 | Ehrlich Christopher B Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,938 35,938 owned after | $0.47 exercise price | 2023-01-24 | |
| 2023-01-20 | Bhatt Elizabeth Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.47 exercise price | 2023-01-24 | |
| 2023-01-17 | WORLAND STEPHEN T 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) | +1,000,000 1,000,000 owned after | $0.47 exercise price | 2023-01-19 | |
| 2023-01-17 | Warner Douglas J Officer (Chief Medical Officer) | 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 | $0.47 exercise price | 2023-01-19 | |
| 2023-01-17 | Gandhi Mayank Officer (Chief Business 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 | $0.47 exercise price | 2023-01-19 | |
| 2023-01-17 | Byrnes Michael Officer (Chief Financial Officer) | 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 | $0.47 exercise price | 2023-01-19 | |
| 2022-09-26 | Gandhi Mayank Officer (Chief Business Officer) | 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 | $0.57 exercise price | 2022-09-28 | |
| 2022-08-11 holding as of filing | TC Group, LLC | Carlyle Investment Management LLC | Carlyle Group Inc. | Carlyle Holdings I GP Sub L.L.C. | Carlyle Holdings I GP Inc. | Carlyle Holdings I L.P. | Carlyle Genesis UK LLC | CG Subsidiary Holdings L.L.C. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Stock Option (right to buy) Derivative · Indirect · See footnotes | Holding | $11.36 exercise price | 2022-08-11 | ||
| 2022-08-08 | Warner Douglas J Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +618,160 618,160 owned after | $0.90 exercise price | 2022-08-08 | |
| 2022-06-20 | McNulty Alana B. Officer (Chief Business 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 | $1.49 exercise price | 2022-06-22 | |
| 2022-06-20 | Byrnes Michael Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +235,541 235,541 owned after | $1.49 exercise price | 2022-06-22 | |
| 2022-06-20 | WORLAND STEPHEN T Director, Officer (President and Chief Executive) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +520,674 520,674 owned after | $1.49 exercise price | 2022-06-22 | |
| 2022-06-09 | Smither John W Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $1.65 exercise price | 2022-06-13 | |
| 2022-06-09 | Klencke Barbara Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $1.65 exercise price | 2022-06-13 | |
| 2022-06-09 | Harrington-Smith Kristen Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,333 13,333 owned after | $1.65 exercise price | 2022-06-13 | |
| 2022-06-09 | Gallagher Brian M. Jr. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $1.65 exercise price | 2022-06-13 | |
| 2022-06-09 | Ehrlich Christopher B Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $1.65 exercise price | 2022-06-13 | |
| 2022-06-09 | Bhatt Elizabeth Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $1.65 exercise price | 2022-06-13 | |
| 2022-02-15 | Harrington-Smith Kristen Director | 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 | $4.61 exercise price | 2022-02-17 | |
| 2022-01-20 | Byrnes Michael Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +235,541 235,541 owned after | $6.65 exercise price | 2022-01-24 | |
| 2022-01-20 | McNulty Alana B. Officer (Chief Business 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 | $6.65 exercise price | 2022-01-24 | |
| 2022-01-20 | Patel Premal Officer (Chief Medical 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 | $6.65 exercise price | 2022-01-24 | |
| 2022-01-20 | WORLAND STEPHEN T Director, Officer (President and Chief Executive) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +520,674 520,674 owned after | $6.65 exercise price | 2022-01-24 | |
| 2021-11-01 | Klencke Barbara Director | 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 | $10.18 exercise price | 2021-11-02 | |
| 2021-10-06 | Gallagher Brian M. Jr. Director, 10% Owner | 4/A | 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 | $11.36 exercise price | 2021-12-17 | |
| 2021-10-06 | Abingworth LLP 10% Owner | 4 | Stock Option (right to buy) Derivative · Indirect · See Footnotes | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $11.36 exercise price | 2021-12-17 | |
| 2021-10-06 | Ehrlich Christopher B Director | 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 | $11.36 exercise price | 2021-10-08 | |
| 2021-10-06 | Bhatt Elizabeth Director | 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 | $11.36 exercise price | 2021-10-08 | |
| 2021-10-06 | Smither John W Director | 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 | $11.36 exercise price | 2021-10-08 | |
| 2021-10-06 | ROOT JONATHAN D Director, 10% Owner | 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 | $11.36 exercise price | 2021-10-08 | |
| 2021-10-06 | Lasky Laurence Director | 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 | $11.36 exercise price | 2021-10-08 | |
| 2021-10-06 | Gallagher Brian M. Jr. Director, 10% Owner | 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 | $11.36 exercise price | 2021-10-08 | |
| 2021-08-25 | Smither John W Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,142 24,142 owned after | $1.97 exercise price | 2021-08-27 | |
| 2021-08-25 | Patel Premal Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +424,911 424,911 owned after | $2.08 exercise price | 2021-08-27 | |
| 2021-08-25 | McNulty Alana B. Officer (Chief Business Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +38,628 38,628 owned after | $0.73 exercise price | 2021-08-27 | |
| 2021-08-25 | McNulty Alana B. Officer (Chief Business Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +120,713 120,713 owned after | $0.94 exercise price | 2021-08-27 | |
| 2021-08-25 | McNulty Alana B. Officer (Chief Business Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +113,470 113,470 owned after | $1.14 exercise price | 2021-08-27 | |
| 2021-08-25 | McNulty Alana B. Officer (Chief Business Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +43,456 43,456 owned after | $1.14 exercise price | 2021-08-27 | |
| 2021-08-25 | McNulty Alana B. Officer (Chief Business Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +96,570 96,570 owned after | $1.66 exercise price | 2021-08-27 | |
| 2021-08-25 | McNulty Alana B. Officer (Chief Business Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +65,185 65,185 owned after | $1.35 exercise price | 2021-08-27 | |
| 2021-08-25 | McNulty Alana B. Officer (Chief Business Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +96,570 96,570 owned after | $1.35 exercise price | 2021-08-27 | |
| 2021-08-25 | Byrnes Michael Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +337,997 337,997 owned after | $2.39 exercise price | 2021-08-27 | |
| 2021-08-25 | WORLAND STEPHEN T Director, Officer (President and Chief Executive) | 4 | Stock Option (Right to Buy) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +33,799 33,799 owned after | $0.52 exercise price | 2021-08-27 | |
| 2021-08-25 | WORLAND STEPHEN T Director, Officer (President and Chief Executive) | 4 | Stock Option (Right to Buy) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +217,284 217,284 owned after | $0.73 exercise price | 2021-08-27 | |
| 2021-08-25 | WORLAND STEPHEN T Director, Officer (President and Chief Executive) | 4 | Stock Option (Right to Buy) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +619,018 619,018 owned after | $1.14 exercise price | 2021-08-27 | |
| 2021-08-25 | WORLAND STEPHEN T Director, Officer (President and Chief Executive) | 4 | Stock Option (Right to Buy) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +144,856 144,856 owned after | $1.14 exercise price | 2021-08-27 | |
| 2021-08-25 | WORLAND STEPHEN T Director, Officer (President and Chief Executive) | 4 | Stock Option (Right to Buy) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +289,712 289,712 owned after | $1.66 exercise price | 2021-08-27 |