Histogen Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 42 rows in 2019. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-11-18: Reporting owner Scott Kathleen D.; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2019-08-01: Reporting owner VANDERTIE MICHELLE L; Form 4; Security Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2019-08-01: Reporting owner VANDERTIE MICHELLE L; Form 4; Security Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2019-08-01: Reporting owner VANDERTIE MICHELLE L; Form 4; Security Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-11-18 | Scott Kathleen D. 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 | $0.33 exercise price | 2019-11-19 | |
| 2019-08-01 | VANDERTIE MICHELLE L Officer (Vice President, Finance) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −15,000 0 owned after | $9.61 exercise price | 2019-08-01 | |
| 2019-08-01 | VANDERTIE MICHELLE L Officer (Vice President, Finance) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −15,000 0 owned after | $9.45 exercise price | 2019-08-01 | |
| 2019-08-01 | VANDERTIE MICHELLE L Officer (Vice President, Finance) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −15,000 0 owned after | $6.40 exercise price | 2019-08-01 | |
| 2019-08-01 | VANDERTIE MICHELLE L Officer (Vice President, Finance) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −15,000 0 owned after | $1.85 exercise price | 2019-08-01 | |
| 2019-08-01 | VANDERTIE MICHELLE L Officer (Vice President, Finance) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −3,750 0 owned after | $1.85 exercise price | 2019-08-01 | |
| 2019-08-01 | VANDERTIE MICHELLE L Officer (Vice President, Finance) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 0 owned after | $2.09 exercise price | 2019-08-01 | |
| 2019-08-01 | VANDERTIE MICHELLE L Officer (Vice President, Finance) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −23,000 0 owned after | $4.21 exercise price | 2019-08-01 | |
| 2019-08-01 | VANDERTIE MICHELLE L Officer (Vice President, Finance) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −16,000 0 owned after | $5.17 exercise price | 2019-08-01 | |
| 2019-08-01 | VANDERTIE MICHELLE L Officer (Vice President, Finance) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −50,000 0 owned after | $2.00 exercise price | 2019-08-01 | |
| 2019-08-01 | Spada Alfred P. Officer (EVP, R&D and CSO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −50,000 0 owned after | $9.45 exercise price | 2019-08-01 | |
| 2019-08-01 | Spada Alfred P. Officer (EVP, R&D and CSO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −100,000 0 owned after | $6.40 exercise price | 2019-08-01 | |
| 2019-08-01 | Spada Alfred P. Officer (EVP, R&D and CSO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −109,375 0 owned after | $1.85 exercise price | 2019-08-01 | |
| 2019-08-01 | Spada Alfred P. Officer (EVP, R&D and CSO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −21,875 0 owned after | $1.85 exercise price | 2019-08-01 | |
| 2019-08-01 | Spada Alfred P. Officer (EVP, R&D and CSO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −100,625 0 owned after | $4.21 exercise price | 2019-08-01 | |
| 2019-08-01 | Spada Alfred P. Officer (EVP, R&D and CSO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −70,000 0 owned after | $5.17 exercise price | 2019-08-01 | |
| 2019-08-01 | Spada Alfred P. Officer (EVP, R&D and CSO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −175,000 0 owned after | $2.00 exercise price | 2019-08-01 | |
| 2019-08-01 | Marshall Keith W Officer (EVP, COO & CFO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −525,000 0 owned after | $5.74 exercise price | 2019-08-01 | |
| 2019-08-01 | Marshall Keith W Officer (EVP, COO & CFO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −70,000 0 owned after | $5.17 exercise price | 2019-08-01 | |
| 2019-08-01 | Marshall Keith W Officer (EVP, COO & CFO) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −175,000 0 owned after | $2.00 exercise price | 2019-08-01 | |
| 2019-08-01 | Mento Steven J Director, Officer (President, CEO & Director) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −400,000 0 owned after | $9.45 exercise price | 2019-08-01 | |
| 2019-08-01 | Mento Steven J Director, Officer (President, CEO & Director) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −150,000 0 owned after | $6.40 exercise price | 2019-08-01 | |
| 2019-08-01 | Mento Steven J Director, Officer (President, CEO & Director) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −50,000 0 owned after | $6.40 exercise price | 2019-08-01 | |
| 2019-08-01 | Mento Steven J Director, Officer (President, CEO & Director) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 0 owned after | $1.85 exercise price | 2019-08-01 | |
| 2019-08-01 | Mento Steven J Director, Officer (President, CEO & Director) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −37,500 0 owned after | $1.85 exercise price | 2019-08-01 | |
| 2019-08-01 | Mento Steven J Director, Officer (President, CEO & Director) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −172,500 0 owned after | $4.21 exercise price | 2019-08-01 | |
| 2019-08-01 | Mento Steven J Director, Officer (President, CEO & Director) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −120,000 0 owned after | $5.17 exercise price | 2019-08-01 | |
| 2019-08-01 | Mento Steven J Director, Officer (President, CEO & Director) | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −350,000 0 owned after | $2.00 exercise price | 2019-08-01 | |
| 2019-06-27 | 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 | $0.29 exercise price | 2019-07-01 | |
| 2019-06-27 | 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 | $0.29 exercise price | 2019-07-01 | |
| 2019-06-27 | 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 | $0.29 exercise price | 2019-07-01 | |
| 2019-06-27 | 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 | $0.29 exercise price | 2019-07-01 | |
| 2019-06-27 | 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 | $0.29 exercise price | 2019-07-01 | |
| 2019-02-07 | 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) | +50,000 50,000 owned after | $2.00 exercise price | 2019-02-11 | |
| 2019-02-07 | 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) | +175,000 175,000 owned after | $2.00 exercise price | 2019-02-11 | |
| 2019-02-07 | 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 | $2.00 exercise price | 2019-02-11 | |
| 2019-02-07 | 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) | +100,000 100,000 owned after | $2.00 exercise price | 2019-02-11 | |
| 2019-02-07 | 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) | +175,000 175,000 owned after | $2.00 exercise price | 2019-02-11 | |
| 2019-02-07 | 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 | $2.00 exercise price | 2019-02-11 | |
| 2019-02-07 | 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) | +350,000 350,000 owned after | $2.00 exercise price | 2019-02-11 | |
| 2019-01-24 | Pascoe Richard W Director, Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +291,107 291,107 owned after | $5.30 exercise price | 2020-05-28 | |
| 2019-01-24 | Pascoe Richard W Director, Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | J Other acquisition or disposition (describe transaction) | +194,071 194,071 owned after | $5.30 exercise price | 2020-05-28 |