KASPIEN HOLDINGS INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 6 rows in 2022. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2022-11-10: Reporting owner Sapienza Edwin; Form 4; Security Employee stock option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2022-10-28: Reporting owner HOLLIDAY MARK E; Form 4; Security Director Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2022-05-02: Reporting owner MARCUS JONATHAN ANTHONY; Form 4; Security Director Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2022-05-02: Reporting owner Simpson Tom; Form 4; Security Director 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 |
|---|---|---|---|---|---|---|---|---|
| 2022-11-10 | Sapienza Edwin Officer (CHIEF FINANCIAL OFFICER) | 4 | Employee stock option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 20,121 owned after | $0.85 exercise price | 2022-11-14 | |
| 2022-10-28 | HOLLIDAY MARK E Director | 4 | Director Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +750 750 owned after | $1.02 exercise price | 2022-11-01 | |
| 2022-05-02 | MARCUS JONATHAN ANTHONY Director | 4 | Director Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,250 3,250 owned after | $4.59 exercise price | 2022-05-04 | |
| 2022-05-02 | Simpson Tom Director | 4 | Director Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,250 3,250 owned after | $4.59 exercise price | 2022-05-04 | |
| 2022-04-14 holding as of filing | Kowalchuk Brock Officer (Interim Chief Executive Office) | 3 | Employee Stock Options (Right to Buy) Derivative · Direct | Holding | $7.12 exercise price | 2022-04-14 | ||
| 2022-04-12 | Kowalchuk Brock Officer (Interim Chief Executive Office) | 4 | Employee Stock Options (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 23,496 owned after | $6.55 exercise price | 2022-04-14 |