Histogen Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 18 rows in 2013. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-09-26: Reporting owner HALE DAVID F; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2013-07-30: Reporting owner Van Wart Harold; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-07-30: Reporting owner Perret Marc Olivier; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2013-07-30: Reporting owner KLINGENSTEIN PAUL H; 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 |
|---|---|---|---|---|---|---|---|---|
| 2013-09-26 | HALE DAVID F Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −12,121 0 owned after | $2.31 exercise price | 2013-09-27 | |
| 2013-07-30 | Van Wart Harold 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 | $11.00 exercise price | 2013-08-01 | |
| 2013-07-30 | Perret Marc Olivier Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $11.00 exercise price | 2013-08-01 | |
| 2013-07-30 | KLINGENSTEIN PAUL H Director, 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $11.00 exercise price | 2013-08-01 | |
| 2013-07-30 | Malik Shahzad Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $11.00 exercise price | 2013-08-01 | |
| 2013-07-30 | LACASSE LOUIS P Director | 4 | Stock Option (Right to Buy) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $11.00 exercise price | 2013-08-01 | |
| 2013-07-30 | HALE DAVID F Director | 4 | Stock Option (Right to Buy) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $11.00 exercise price | 2013-08-01 | |
| 2013-07-30 | Scopa James Paul Director | 4 | Stock Option (Right to Buy) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $11.00 exercise price | 2013-08-01 | |
| 2013-07-24 holding as of filing | Van Wart Harold Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $0.25 exercise price | 2013-07-24 | ||
| 2013-07-24 holding as of filing | Van Wart Harold Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $0.99 exercise price | 2013-07-24 | ||
| 2013-07-24 holding as of filing | Spada Alfred P. Officer (SVP, R&D and CSO) | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $1.24 exercise price | 2013-07-24 | ||
| 2013-07-24 holding as of filing | Spada Alfred P. Officer (SVP, R&D and CSO) | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $0.99 exercise price | 2013-07-24 | ||
| 2013-07-24 holding as of filing | Mento Steven J Director, Officer (President, CEO & Director) | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $1.24 exercise price | 2013-07-24 | ||
| 2013-07-24 holding as of filing | Mento Steven J Director, Officer (President, CEO & Director) | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $0.99 exercise price | 2013-07-24 | ||
| 2013-07-24 holding as of filing | HALE DAVID F Director | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $0.99 exercise price | 2013-07-24 | ||
| 2013-07-24 holding as of filing | HALE DAVID F Director | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $2.31 exercise price | 2013-07-24 | ||
| 2013-07-24 holding as of filing | Cashion Charles Officer (SVP, Finance, CFO and Sec.) | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $1.24 exercise price | 2013-07-24 | ||
| 2013-07-24 holding as of filing | Cashion Charles Officer (SVP, Finance, CFO and Sec.) | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $0.99 exercise price | 2013-07-24 |