Histogen Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 20 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-12-20: Reporting owner Mento Steven J; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-12-20: Reporting owner Mento Steven J; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-10-27: Reporting owner Van Wart Harold; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-10-07: Reporting owner Latterich Martin; Form 4; Security Stock Option (right to buy); Transaction J Other acquisition or disposition (describe transaction).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-12-20 | Mento Steven J Director, Officer (President, CEO & Director) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −36,363 0 owned after | $1.24 exercise price | 2016-12-22 | |
| 2016-12-20 | Mento Steven J Director, Officer (President, CEO & Director) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,051 207,070 owned after | $0.99 exercise price | 2016-12-22 | |
| 2016-10-27 | Van Wart Harold Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,181 0 owned after | $0.25 exercise price | 2016-10-31 | |
| 2016-10-07 | Latterich Martin Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +28,684 28,684 owned after | $3.70 exercise price | 2020-05-28 | |
| 2016-06-23 | 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) | +20,000 20,000 owned after | $2.13 exercise price | 2016-06-27 | |
| 2016-06-23 | Van Wart Harold 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 | $2.13 exercise price | 2016-06-24 | |
| 2016-06-23 | Scopa James Paul 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 | $2.13 exercise price | 2016-06-24 | |
| 2016-06-23 | Klassen Preston 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 | $2.13 exercise price | 2016-06-24 | |
| 2016-06-23 | KISNER DANIEL L 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 | $2.13 exercise price | 2016-06-24 | |
| 2016-06-23 | HALE DAVID F Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 45,000 owned after | $2.13 exercise price | 2016-06-24 | |
| 2016-04-01 | Smith Edward F III Officer (SVP, Reg Affairs and QA) | 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 | $2.53 exercise price | 2016-04-04 | |
| 2016-02-04 | 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 | $1.85 exercise price | 2016-02-08 | |
| 2016-02-04 | 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) | +12,500 12,500 owned after | $1.85 exercise price | 2016-02-08 | |
| 2016-02-04 | 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) | +109,375 109,375 owned after | $1.85 exercise price | 2016-02-08 | |
| 2016-02-04 | 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) | +21,875 21,875 owned after | $1.85 exercise price | 2016-02-08 | |
| 2016-02-04 | Spada Alfred P. Officer (EVP, R&D and CSO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +109,375 109,375 owned after | $1.85 exercise price | 2016-02-08 | |
| 2016-02-04 | Spada Alfred P. Officer (EVP, R&D and CSO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +21,875 21,875 owned after | $1.85 exercise price | 2016-02-08 | |
| 2016-02-04 | 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) | +187,500 187,500 owned after | $1.85 exercise price | 2016-02-08 | |
| 2016-02-04 | 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) | +37,500 37,500 owned after | $1.85 exercise price | 2016-02-08 | |
| 2016-01-29 | Chang Stephen Director | 4 | Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +14,342 14,342 owned after | $1.47 exercise price | 2020-05-28 |