NUPATHE INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 35 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-12-31: Reporting owner COLA MICHAEL F; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-12-31: Reporting owner Cunicelli Jeanne; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-12-31: Reporting owner ROCHE ROBERT P JR; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-12-31: Reporting owner Yetter Wayne P.; 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 |
|---|---|---|---|---|---|---|---|---|
| 2011-12-31 | COLA MICHAEL F Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,431 9,431 owned after | $1.19 | 2012-01-04 | |
| 2011-12-31 | Cunicelli Jeanne Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,641 9,641 owned after | $1.19 | 2012-01-04 | |
| 2011-12-31 | ROCHE ROBERT P JR Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,955 9,955 owned after | $1.19 | 2012-01-04 | |
| 2011-12-31 | Yetter Wayne P. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,401 4,401 owned after | $1.19 | 2012-01-04 | |
| 2011-12-31 | SAFEGUARD SCIENTIFICS INC Director, 10% Owner | 4 | Stock Option (right to buy) Derivative · Indirect · By officer | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,431 9,431 owned after | $1.84 exercise price | 2012-01-03 | |
| 2011-11-01 | Dunn Bart J Officer (VP, Corp Dev & Licensing) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +110,000 110,000 owned after | $2.72 exercise price | 2011-11-02 | |
| 2011-09-30 | ROCHE ROBERT P JR Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,050 9,050 owned after | $1.31 | 2011-10-04 | |
| 2011-09-30 | Cunicelli Jeanne Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,764 8,764 owned after | $1.31 | 2011-10-04 | |
| 2011-09-30 | COLA MICHAEL F Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,574 8,574 owned after | $1.31 | 2011-10-04 | |
| 2011-09-30 | Yetter Wayne P. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,001 4,001 owned after | $1.31 | 2011-10-04 | |
| 2011-09-30 | SAFEGUARD SCIENTIFICS INC Director, 10% Owner | 4 | Stock Option (right to buy) Derivative · Indirect · By officer | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,574 8,574 owned after | $2.02 exercise price | 2011-10-03 | |
| 2011-06-30 | ROCHE ROBERT P JR Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,169 2,169 owned after | $4.90 | 2011-07-05 | |
| 2011-06-30 | Cunicelli Jeanne Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,348 2,348 owned after | $4.90 | 2011-07-05 | |
| 2011-06-30 | COLA MICHAEL F Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,297 2,297 owned after | $4.90 | 2011-07-05 | |
| 2011-06-30 | Yetter Wayne P. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,072 1,072 owned after | $4.90 | 2011-07-05 | |
| 2011-06-30 | SAFEGUARD SCIENTIFICS INC Director, 10% Owner | 4 | Stock Option (right to buy) Derivative · Indirect · By officer | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,297 2,297 owned after | $7.33 exercise price | 2011-07-01 | |
| 2011-06-08 | ROCHE ROBERT P JR Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,750 6,750 owned after | $7.66 exercise price | 2011-06-10 | |
| 2011-06-08 | FEDERICI WILLIAM J Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,750 6,750 owned after | $7.66 exercise price | 2011-06-10 | |
| 2011-06-08 | Cunicelli Jeanne Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,750 6,750 owned after | $7.66 exercise price | 2011-06-10 | |
| 2011-06-08 | COLA MICHAEL F Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,750 6,750 owned after | $7.66 exercise price | 2011-06-10 | |
| 2011-06-08 | Yetter Wayne P. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,750 6,750 owned after | $7.66 exercise price | 2011-06-10 | |
| 2011-06-08 | SAFEGUARD SCIENTIFICS INC Director, 10% Owner | 4 | Stock Option (right to buy) Derivative · Indirect · By officer | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,750 6,750 owned after | $7.66 exercise price | 2011-06-09 | |
| 2011-03-31 | ROCHE ROBERT P JR Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,024 2,024 owned after | $5.25 | 2011-07-05 | |
| 2011-03-31 | Cunicelli Jeanne Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,191 2,191 owned after | $5.25 | 2011-07-05 | |
| 2011-03-31 | COLA MICHAEL F Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,143 2,143 owned after | $5.25 | 2011-07-05 | |
| 2011-03-31 | Yetter Wayne P. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,000 1,000 owned after | $5.25 | 2011-07-05 | |
| 2011-03-31 | SAFEGUARD SCIENTIFICS INC Director, 10% Owner | 4 | Stock Option (right to buy) Derivative · Indirect · By officer | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,143 2,143 owned after | $7.81 exercise price | 2011-04-13 | |
| 2011-03-03 | ROCHE ROBERT P JR Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,014 6,014 owned after | $7.75 exercise price | 2011-03-07 | |
| 2011-03-03 | Cunicelli Jeanne Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,014 6,014 owned after | $7.75 exercise price | 2011-03-07 | |
| 2011-03-03 | Kollender Richard S Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,014 6,014 owned after | $7.75 exercise price | 2011-03-07 | |
| 2011-03-03 | COLA MICHAEL F Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,014 6,014 owned after | $7.75 exercise price | 2011-03-07 | |
| 2011-03-03 | Yetter Wayne P. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,014 6,014 owned after | $7.75 exercise price | 2011-03-07 | |
| 2011-03-03 | FEDERICI WILLIAM J Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,014 6,014 owned after | $7.75 exercise price | 2011-03-07 | |
| 2011-03-03 | SAFEGUARD SCIENTIFICS INC Director, 10% Owner | 4 | Stock Option (right to buy) Derivative · Indirect · By officer | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,014 6,014 owned after | $7.75 exercise price | 2011-03-04 | |
| 2011-01-05 | FEDERICI WILLIAM J Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,486 7,486 owned after | $9.00 exercise price | 2011-01-05 |