Histogen Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 13 rows in 2014. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-10-01: Reporting owner Hagerty David T; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-06-19: 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).
- 2014-06-19: Reporting owner Scopa James Paul; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2014-06-19: Reporting owner Malik Shahzad; 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 |
|---|---|---|---|---|---|---|---|---|
| 2014-10-01 | Hagerty David T Officer (EVP, Clinical Development) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +175,000 175,000 owned after | $5.92 exercise price | 2014-10-03 | |
| 2014-06-19 | Van Wart Harold Director | 4 | 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 | $7.97 exercise price | 2014-06-23 | |
| 2014-06-19 | Scopa James Paul Director | 4 | 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 | $7.97 exercise price | 2014-06-23 | |
| 2014-06-19 | Malik Shahzad Director, 10% Owner | 4 | 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 | $7.97 exercise price | 2014-06-23 | |
| 2014-06-19 | LACASSE LOUIS P Director | 4 | 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 | $7.97 exercise price | 2014-06-23 | |
| 2014-06-19 | HALE DAVID F Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 35,000 owned after | $7.97 exercise price | 2014-06-23 | |
| 2014-02-07 | Spada Alfred P. Officer (SVP, R&D and CSO) | 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 | $9.45 exercise price | 2014-02-11 | |
| 2014-02-07 | Mento Steven J Director, Officer (President, CEO & Director) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +400,000 400,000 owned after | $9.45 exercise price | 2014-02-11 | |
| 2014-02-07 | Cashion Charles Officer (SVP, Finance, CFO and Sec.) | 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 | $9.45 exercise price | 2014-02-11 | |
| 2014-02-07 | BURGESS GARY C. Officer (Sr. VP, Clin. Res. & CMO) | 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 | $9.45 exercise price | 2014-02-11 | |
| 2014-02-07 | Klassen Preston 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 | $9.45 exercise price | 2014-02-11 | |
| 2014-02-07 | KISNER DANIEL L 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 | $9.45 exercise price | 2014-02-11 | |
| 2014-01-08 | 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 | $0.99 exercise price | 2014-01-10 |