LIQUIDIA TECHNOLOGIES, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 86 rows, 86 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-06-22: Reporting owner Bloch Stephen M; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-06-22: Reporting owner Rielly-Gauvin Katherine; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-06-22: Reporting owner RUDNICK SETH; Form 4; Security Non-Qualified Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-06-22: Reporting owner SNYDERMAN RALPH; Form 4; Security Non-Qualified 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 |
|---|---|---|---|---|---|---|---|---|
| 2020-06-22 | Bloch Stephen M Director | 4 | Non-Qualified 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 | $10.97 exercise price | 2020-06-23 | |
| 2020-06-22 | Rielly-Gauvin Katherine Director | 4 | Non-Qualified 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 | $10.97 exercise price | 2020-06-23 | |
| 2020-06-22 | RUDNICK SETH Director | 4 | Non-Qualified 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 | $10.97 exercise price | 2020-06-23 | |
| 2020-06-22 | SNYDERMAN RALPH Director | 4 | Non-Qualified 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 | $10.97 exercise price | 2020-06-23 | |
| 2020-06-22 | Kirsch Arthur S Director | 4 | Non-Qualified 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 | $10.97 exercise price | 2020-06-23 | |
| 2020-06-22 | SINGH RAMAN Director | 4 | Non-Qualified 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 | $10.97 exercise price | 2020-06-23 | |
| 2020-06-22 | Horobin Joanna Director | 4 | Non-Qualified 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 | $10.97 exercise price | 2020-06-23 | |
| 2020-05-27 | Maynor Benjamin Officer (SVP, Research and Development) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,754 0 owned after | $2.69 exercise price | 2020-05-28 | |
| 2020-05-18 | Shah Tushar Officer (Chief Medical Oficer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +230,000 230,000 owned after | $7.95 exercise price | 2020-05-19 | |
| 2020-04-14 | Maynor Benjamin Officer (SVP, Research and Development) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,132 0 owned after | $1.85 exercise price | 2020-04-16 | |
| 2020-03-18 | Krawchick Florina Officer (SVP, Human Resources) | 4 | Employee 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 | $3.31 exercise price | 2020-03-20 | |
| 2020-03-18 | Roscigno Robert F Officer (SVP, Product Development) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +33,333 33,333 owned after | $3.31 exercise price | 2020-03-20 | |
| 2020-03-18 | Lippe Robert A Officer (Chief Operations Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +43,333 43,333 owned after | $3.31 exercise price | 2020-03-20 | |
| 2020-03-18 | Fowler Neal Franklin Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +121,600 121,600 owned after | $3.31 exercise price | 2020-03-20 | |
| 2020-03-18 | Katz Richard D 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) | +43,333 43,333 owned after | $3.31 exercise price | 2020-03-20 | |
| 2020-03-18 | Thomas Jeri Officer (SVP, Commercial) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +33,333 33,333 owned after | $3.31 exercise price | 2020-03-20 | |
| 2020-03-18 | Maynor Benjamin Officer (SVP, Research and Development) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +33,333 33,333 owned after | $3.31 exercise price | 2020-03-20 | |
| 2019-10-30 | Rielly-Gauvin Katherine Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $4.72 exercise price | 2019-11-01 | |
| 2019-09-11 | Horobin Joanna Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $4.22 exercise price | 2019-09-12 | |
| 2019-08-29 | SNYDERMAN RALPH Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $4.52 exercise price | 2019-09-03 | |
| 2019-08-29 | Kirsch Arthur S Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $4.52 exercise price | 2019-09-03 | |
| 2019-08-29 | RUDNICK SETH Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $4.52 exercise price | 2019-09-03 | |
| 2019-08-29 | SINGH RAMAN Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $4.52 exercise price | 2019-09-03 | |
| 2019-08-29 | Bloch Stephen M Director | 4 | Nonqualified Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500 7,500 owned after | $4.52 exercise price | 2019-09-03 | |
| 2019-08-22 | Albury Timothy Officer (SVP, Chief Accounting Officer) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,199 9,411 owned after | $4.71 exercise price | 2019-08-26 | |
| 2019-08-14 | Albury Timothy Officer (SVP, Chief Accounting Officer) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −640 17,610 owned after | $4.71 exercise price | 2019-08-15 | |
| 2019-08-13 | Albury Timothy Officer (SVP, Chief Accounting Officer) | 4 | Incentive Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,361 18,250 owned after | $4.71 exercise price | 2019-08-15 | |
| 2019-07-26 holding as of filing | Krawchick Florina Officer (SVP, Human Resources) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $4.71 exercise price | 2019-07-26 | ||
| 2019-07-26 holding as of filing | Krawchick Florina Officer (SVP, Human Resources) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $20.36 exercise price | 2019-07-26 | ||
| 2019-07-26 holding as of filing | Krawchick Florina Officer (SVP, Human Resources) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $9.31 exercise price | 2019-07-26 | ||
| 2019-07-26 holding as of filing | Krawchick Florina Officer (SVP, Human Resources) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $14.20 exercise price | 2019-07-26 | ||
| 2019-05-22 | Katz Richard D 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) | +155,000 155,000 owned after | $10.29 exercise price | 2019-05-22 | |
| 2019-04-24 | SNYDERMAN RALPH Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −946 0 owned after | $2.69 exercise price | 2019-04-26 | |
| 2019-04-24 | SNYDERMAN RALPH Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −463 0 owned after | $3.87 exercise price | 2019-04-26 | |
| 2019-04-24 | SNYDERMAN RALPH Director | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,085 0 owned after | $4.71 exercise price | 2019-04-26 | |
| 2019-02-28 | Maynor Benjamin Officer (SVP, Research and Development) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,187 6,132 owned after | $1.85 exercise price | 2019-03-01 | |
| 2019-02-05 | Thomas Jeri Officer (SVP, Commercial) | 4 | Employee 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 | $14.20 exercise price | 2019-02-07 | |
| 2019-02-05 | Fowler Neal Franklin Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +96,500 96,500 owned after | $14.20 exercise price | 2019-02-07 | |
| 2019-02-05 | Maynor Benjamin Officer (SVP, Research and Development) | 4 | Employee 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 | $14.20 exercise price | 2019-02-07 | |
| 2019-02-05 | Lippe Robert A Officer (Chief Operations Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +36,000 36,000 owned after | $14.20 exercise price | 2019-02-07 | |
| 2019-02-05 | Albury Timothy Officer (SVP, Chief Accounting Officer) | 4 | Employee 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 | $14.20 exercise price | 2019-02-07 | |
| 2019-02-05 | Roscigno Robert F Officer (SVP, Product Development) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +36,000 36,000 owned after | $14.20 exercise price | 2019-02-07 | |
| 2018-09-13 | Albury Timothy Officer (SVP, Chief Accounting Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,713 0 owned after | $3.87 exercise price | 2018-09-14 | |
| 2018-09-13 | Albury Timothy Officer (SVP, Chief Accounting Officer) | 4 | Non-Qualified Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,130 0 owned after | $3.87 exercise price | 2018-09-14 | |
| 2018-07-25 | Mathers Edward T Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +26,986 26,986 owned after | $11.00 exercise price | 2018-07-27 | |
| 2018-07-25 | Kirsch Arthur S Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,050 10,050 owned after | $11.00 exercise price | 2018-07-27 | |
| 2018-07-25 | SINGH RAMAN Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,050 10,050 owned after | $11.00 exercise price | 2018-07-27 | |
| 2018-07-25 | GORDON KEVIN K Officer (President and CFO) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +41,084 41,084 owned after | $11.00 exercise price | 2018-07-27 | |
| 2018-07-25 | Fowler Neal Franklin Director, Officer (Chief Executive Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +192,008 192,008 owned after | $11.00 exercise price | 2018-07-27 | |
| 2018-07-25 | Bloch Stephen M Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +26,986 26,986 owned after | $11.00 exercise price | 2018-07-27 | |
| 2018-07-25 holding as of filing | Lippe Robert A Officer (Chief Operations Officer) | 3 | Stock Options Derivative · Direct | Holding | $4.71 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Lippe Robert A Officer (Chief Operations Officer) | 3 | Stock Options Derivative · Direct | Holding | $9.31 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | RUDNICK SETH Director | 3 | Stock Options Derivative · Direct | Holding | $1.85 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | RUDNICK SETH Director | 3 | Stock Options Derivative · Direct | Holding | $3.87 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | RUDNICK SETH Director | 3 | Stock Options Derivative · Direct | Holding | $4.71 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | RUDNICK SETH Director | 3 | Stock Options Derivative · Direct | Holding | $9.31 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Glidden Shawn Officer (SVP, Legal Affairs and Scrtry) | 3 | Stock Options Derivative · Direct | Holding | $2.69 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Glidden Shawn Officer (SVP, Legal Affairs and Scrtry) | 3 | Stock Options Derivative · Direct | Holding | $3.87 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Glidden Shawn Officer (SVP, Legal Affairs and Scrtry) | 3 | Stock Options Derivative · Direct | Holding | $4.71 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Glidden Shawn Officer (SVP, Legal Affairs and Scrtry) | 3 | Stock Options Derivative · Direct | Holding | $9.31 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Fowler Neal Franklin Director, Officer (Chief Executive Officer) | 3 | Stock Options Derivative · Direct | Holding | $1.85 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Fowler Neal Franklin Director, Officer (Chief Executive Officer) | 3 | Stock Options Derivative · Direct | Holding | $3.87 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Fowler Neal Franklin Director, Officer (Chief Executive Officer) | 3 | Stock Options Derivative · Direct | Holding | $4.71 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Fowler Neal Franklin Director, Officer (Chief Executive Officer) | 3 | Stock Options Derivative · Direct | Holding | $9.31 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Maynor Benjamin Officer (SVP, Research and Development) | 3 | Stock Options Derivative · Direct | Holding | $1.85 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Maynor Benjamin Officer (SVP, Research and Development) | 3 | Stock Options Derivative · Direct | Holding | $2.69 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Maynor Benjamin Officer (SVP, Research and Development) | 3 | Stock Options Derivative · Direct | Holding | $3.87 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Maynor Benjamin Officer (SVP, Research and Development) | 3 | Stock Options Derivative · Direct | Holding | $4.71 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Maynor Benjamin Officer (SVP, Research and Development) | 3 | Stock Options Derivative · Direct | Holding | $9.31 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Roscigno Robert F Officer (SVP, Product Development) | 3 | Stock Options Derivative · Direct | Holding | $4.71 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Roscigno Robert F Officer (SVP, Product Development) | 3 | Stock Options Derivative · Direct | Holding | $9.31 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Adair Jason Officer (V.P., Bsnss Dvlpmnt and Strtgy) | 3 | Stock Options Derivative · Direct | Holding | $5.89 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Adair Jason Officer (V.P., Bsnss Dvlpmnt and Strtgy) | 3 | Stock Options Derivative · Direct | Holding | $9.31 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | SNYDERMAN RALPH Director | 3 | Stock Options Derivative · Direct | Holding | $2.69 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | SNYDERMAN RALPH Director | 3 | Stock Options Derivative · Direct | Holding | $3.87 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | SNYDERMAN RALPH Director | 3 | Stock Options Derivative · Direct | Holding | $4.71 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | SNYDERMAN RALPH Director | 3 | Stock Options Derivative · Direct | Holding | $9.31 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | SINGH RAMAN Director | 3 | Stock Options Derivative · Direct | Holding | $9.31 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Kirsch Arthur S Director | 3 | Stock Options Derivative · Direct | Holding | $20.36 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Kirsch Arthur S Director | 3 | Stock Options Derivative · Direct | Holding | $9.31 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Albury Timothy Officer (SVP, Chief Accounting Officer) | 3 | Stock Options Derivative · Direct | Holding | $3.87 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Albury Timothy Officer (SVP, Chief Accounting Officer) | 3 | Stock Options Derivative · Direct | Holding | $3.87 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Albury Timothy Officer (SVP, Chief Accounting Officer) | 3 | Stock Options Derivative · Direct | Holding | $4.71 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Albury Timothy Officer (SVP, Chief Accounting Officer) | 3 | Stock Options Derivative · Direct | Holding | $9.31 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | GORDON KEVIN K Officer (President and CFO) | 3 | Stock Options Derivative · Direct | Holding | $9.31 exercise price | 2018-07-25 | ||
| 2018-07-25 holding as of filing | Thomas Jeri Officer (SVP, Commercial) | 3 | Stock Options Derivative · Direct | Holding | $11.32 exercise price | 2018-07-25 |