NEUROMETRIX, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 8 rows in 2021. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-08-23: Reporting owner HIGGINS THOMAS T; Form 4; Security Stock Option (right to buy Common Stock); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2021-05-27: Reporting owner Gozani Shai; Form 4; Security Stock Option (right to buy Common Stock); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2021-05-27: Reporting owner Van Avermaete David; Form 4; Security Stock Option (right to buy Common Stock); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2021-05-27: Reporting owner KATZ NANCY E; Form 4; Security Stock Option (right to buy Common Stock); 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 |
|---|---|---|---|---|---|---|---|---|
| 2021-08-23 | HIGGINS THOMAS T Officer (Senior Vice President, CFO) | 4 | Stock Option (right to buy Common Stock) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −50,000 75,000 owned after | $1.57 | 2021-08-23 | |
| 2021-05-27 | Gozani Shai Director, Officer (President & CEO) | 4 | Stock Option (right to buy Common Stock) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +171,014 396,014 owned after | $2.92 | 2021-06-04 | |
| 2021-05-27 | Van Avermaete David Director | 4 | Stock Option (right to buy Common Stock) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 10,723 owned after | $2.92 | 2021-06-04 | |
| 2021-05-27 | KATZ NANCY E Director | 4 | Stock Option (right to buy Common Stock) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 10,692 owned after | $2.92 | 2021-06-04 | |
| 2021-05-27 | Goodman David Director | 4 | Stock Option (right to buy Common Stock) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 10,692 owned after | $2.92 | 2021-06-04 | |
| 2021-01-12 | Van Avermaete David Director | 4 | Stock Option (right to buy Common Stock) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 6,723 owned after | $3.08 | 2021-01-15 | |
| 2021-01-12 | KATZ NANCY E Director | 4 | Stock Option (right to buy Common Stock) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 6,692 owned after | $3.08 | 2021-01-15 | |
| 2021-01-12 | Goodman David Director | 4 | Stock Option (right to buy Common Stock) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 6,692 owned after | $3.08 | 2021-01-15 |