Histogen Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 19 rows in 2018. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-06-21: 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).
- 2018-06-21: 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).
- 2018-06-21: Reporting owner LARUE WILLIAM R; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2018-06-21: 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 |
|---|---|---|---|---|---|---|---|---|
| 2018-06-21 | 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 | $4.99 exercise price | 2018-06-25 | |
| 2018-06-21 | 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 | $4.99 exercise price | 2018-06-25 | |
| 2018-06-21 | LARUE WILLIAM R 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 | $4.99 exercise price | 2018-06-25 | |
| 2018-06-21 | 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 | $4.99 exercise price | 2018-06-25 | |
| 2018-06-21 | 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 | $4.99 exercise price | 2018-06-25 | |
| 2018-06-21 | 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 | $4.99 exercise price | 2018-06-25 | |
| 2018-05-04 | 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 | −60,000 147,070 owned after | $0.99 exercise price | 2018-05-07 | |
| 2018-05-02 | Satz Brian Director | 4 | Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +35,855 35,855 owned after | $3.84 exercise price | 2020-05-28 | |
| 2018-05-02 | Chang Stephen Director | 4 | Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +35,855 35,855 owned after | $3.84 exercise price | 2020-05-28 | |
| 2018-05-02 | Crean David Hugh Director | 4 | Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +35,855 35,855 owned after | $3.84 exercise price | 2020-05-28 | |
| 2018-03-12 | Latterich Martin Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +14,342 14,342 owned after | $3.84 exercise price | 2020-05-28 | |
| 2018-02-27 | Spada Alfred P. Officer (EVP, R&D and CSO) | 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 | $1.24 exercise price | 2018-03-01 | |
| 2018-02-04 | VANDERTIE MICHELLE L Officer (Vice President, Finance) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,000 16,000 owned after | $5.17 exercise price | 2018-02-05 | |
| 2018-02-04 | 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) | +70,000 70,000 owned after | $5.17 exercise price | 2018-02-05 | |
| 2018-02-04 | 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) | +40,000 40,000 owned after | $5.17 exercise price | 2018-02-05 | |
| 2018-02-04 | 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) | +40,000 40,000 owned after | $5.17 exercise price | 2018-02-05 | |
| 2018-02-04 | 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) | +70,000 70,000 owned after | $5.17 exercise price | 2018-02-05 | |
| 2018-02-04 | 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) | +70,000 70,000 owned after | $5.17 exercise price | 2018-02-05 | |
| 2018-02-04 | 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) | +120,000 120,000 owned after | $5.17 exercise price | 2018-02-05 |