Histogen Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 29 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-10-25: Reporting owner Crean David Hugh; Form 4; Security Stock Option (right to buy); Transaction J Other acquisition or disposition (describe transaction).
- 2017-08-31: Reporting owner Marshall Keith W; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-06-22: 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).
- 2017-06-22: Reporting owner Klassen Preston; 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 |
|---|---|---|---|---|---|---|---|---|
| 2017-10-25 | Crean David Hugh Director | 4 | Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +4,302 4,302 owned after | $3.84 exercise price | 2020-05-28 | |
| 2017-08-31 | Marshall Keith W Officer (EVP, COO & CFO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +525,000 525,000 owned after | $5.74 exercise price | 2017-09-01 | |
| 2017-06-22 | 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 | $4.96 exercise price | 2017-06-26 | |
| 2017-06-22 | 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 | $4.96 exercise price | 2017-06-26 | |
| 2017-06-22 | 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 | $4.96 exercise price | 2017-06-26 | |
| 2017-06-22 | 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 | $4.96 exercise price | 2017-06-26 | |
| 2017-06-22 | 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 | $4.96 exercise price | 2017-06-26 | |
| 2017-05-22 | Crean David Hugh Director | 4 | Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +17,210 17,210 owned after | $3.70 exercise price | 2020-05-28 | |
| 2017-04-07 holding as of filing | VANDERTIE MICHELLE L Officer (Vice President, Finance) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $0.99 exercise price | 2017-04-07 | ||
| 2017-04-07 holding as of filing | VANDERTIE MICHELLE L Officer (Vice President, Finance) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $9.61 exercise price | 2017-04-07 | ||
| 2017-04-07 holding as of filing | VANDERTIE MICHELLE L Officer (Vice President, Finance) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $9.45 exercise price | 2017-04-07 | ||
| 2017-04-07 holding as of filing | VANDERTIE MICHELLE L Officer (Vice President, Finance) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $6.40 exercise price | 2017-04-07 | ||
| 2017-04-07 holding as of filing | VANDERTIE MICHELLE L Officer (Vice President, Finance) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $1.85 exercise price | 2017-04-07 | ||
| 2017-04-07 holding as of filing | VANDERTIE MICHELLE L Officer (Vice President, Finance) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $1.85 exercise price | 2017-04-07 | ||
| 2017-04-07 holding as of filing | VANDERTIE MICHELLE L Officer (Vice President, Finance) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $2.09 exercise price | 2017-04-07 | ||
| 2017-04-07 holding as of filing | VANDERTIE MICHELLE L Officer (Vice President, Finance) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $4.21 exercise price | 2017-04-07 | ||
| 2017-02-06 | LARUE WILLIAM R 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 | $5.09 exercise price | 2017-02-07 | |
| 2017-02-02 holding as of filing | RIPLEY DANIEL L. Officer (SVP, Bus Dev, P&A Mgmt) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $2.31 exercise price | 2017-02-02 | ||
| 2017-02-02 holding as of filing | RIPLEY DANIEL L. Officer (SVP, Bus Dev, P&A Mgmt) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $9.45 exercise price | 2017-02-02 | ||
| 2017-02-02 holding as of filing | RIPLEY DANIEL L. Officer (SVP, Bus Dev, P&A Mgmt) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $6.47 exercise price | 2017-02-02 | ||
| 2017-02-02 holding as of filing | RIPLEY DANIEL L. Officer (SVP, Bus Dev, P&A Mgmt) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $1.85 exercise price | 2017-02-02 | ||
| 2017-02-02 holding as of filing | RIPLEY DANIEL L. Officer (SVP, Bus Dev, P&A Mgmt) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $1.85 exercise price | 2017-02-02 | ||
| 2017-01-26 | RIPLEY DANIEL L. Officer (SVP, Bus Dev, P&A Mgmt) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +73,000 73,000 owned after | $4.21 exercise price | 2017-02-02 | |
| 2017-01-26 | 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) | +100,625 100,625 owned after | $4.21 exercise price | 2017-02-01 | |
| 2017-01-26 | 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) | +57,500 57,500 owned after | $4.21 exercise price | 2017-02-01 | |
| 2017-01-26 | 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) | +100,625 100,625 owned after | $4.21 exercise price | 2017-02-01 | |
| 2017-01-26 | 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) | +57,500 57,500 owned after | $4.21 exercise price | 2017-02-01 | |
| 2017-01-26 | 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) | +172,500 172,500 owned after | $4.21 exercise price | 2017-02-01 | |
| 2017-01-09 | Cashion Charles Officer (SVP, Finance, CFO and Sec.) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −42,424 0 owned after | $0.99 exercise price | 2017-01-11 |