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 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-12-31: 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).
- 2012-12-31: Reporting owner FEDERICI WILLIAM J; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2012-12-31: 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).
- 2012-12-31: 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 |
|---|---|---|---|---|---|---|---|---|
| 2012-12-31 | 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) | +5,179 5,179 owned after | $2.29 | 2013-01-03 | |
| 2012-12-31 | FEDERICI WILLIAM J Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,916 2,916 owned after | $2.29 | 2013-01-03 | |
| 2012-12-31 | COLA MICHAEL F Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,906 4,906 owned after | $2.29 | 2013-01-03 | |
| 2012-12-31 | Yetter Wayne P. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +823 823 owned after | $2.29 | 2013-01-03 | |
| 2012-12-31 | 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) | +1,226 1,226 owned after | $3.38 exercise price | 2013-01-02 | |
| 2012-09-30 | 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) | +4,695 4,695 owned after | $3.56 exercise price | 2012-10-02 | |
| 2012-09-30 | 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) | +4,956 4,956 owned after | $2.40 | 2012-10-01 | |
| 2012-09-30 | FEDERICI WILLIAM J Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,791 2,791 owned after | $2.40 | 2012-10-01 | |
| 2012-09-30 | Cunicelli Jeanne Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,800 4,800 owned after | $2.40 | 2012-10-01 | |
| 2012-09-30 | COLA MICHAEL F Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,695 4,695 owned after | $2.40 | 2012-10-01 | |
| 2012-09-30 | Yetter Wayne P. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +730 730 owned after | $2.40 | 2012-10-01 | |
| 2012-07-25 | ANIDO ARMANDO Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +738,190 738,190 owned after | $3.81 exercise price | 2012-07-27 | |
| 2012-06-30 | 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) | +4,326 4,326 owned after | $2.74 | 2012-07-03 | |
| 2012-06-30 | FEDERICI WILLIAM J Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,436 2,436 owned after | $2.74 | 2012-07-03 | |
| 2012-06-30 | Cunicelli Jeanne Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,189 4,189 owned after | $2.74 | 2012-07-03 | |
| 2012-06-30 | COLA MICHAEL F Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,098 4,098 owned after | $2.74 | 2012-07-03 | |
| 2012-06-30 | Yetter Wayne P. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +637 637 owned after | $2.74 | 2012-07-03 | |
| 2012-06-30 | 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) | +4,098 4,098 owned after | $4.03 exercise price | 2012-07-02 | |
| 2012-06-07 | 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 | $3.37 exercise price | 2012-06-11 | |
| 2012-06-07 | 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 | $3.37 exercise price | 2012-06-11 | |
| 2012-06-07 | 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 | $3.37 exercise price | 2012-06-11 | |
| 2012-06-07 | 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 | $3.37 exercise price | 2012-06-11 | |
| 2012-06-07 | 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 | $3.37 exercise price | 2012-06-11 | |
| 2012-06-07 | 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 | $3.37 exercise price | 2012-06-08 | |
| 2012-03-31 | FEDERICI WILLIAM J Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,802 2,802 owned after | $2.39 | 2012-04-03 | |
| 2012-03-31 | COLA MICHAEL F Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,714 4,714 owned after | $2.39 | 2012-04-03 | |
| 2012-03-31 | Cunicelli Jeanne Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,819 4,819 owned after | $2.39 | 2012-04-03 | |
| 2012-03-31 | 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) | +4,976 4,976 owned after | $2.39 | 2012-04-03 | |
| 2012-03-31 | Yetter Wayne P. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +733 733 owned after | $2.39 | 2012-04-03 | |
| 2012-03-31 | 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) | +4,714 4,714 owned after | $3.70 exercise price | 2012-04-02 | |
| 2012-03-08 | Marino Michael F III Officer (VP and General Counsel) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,675 30,675 owned after | $3.06 exercise price | 2012-03-27 | |
| 2012-03-08 | McLaughlin Gerald W. Officer (VP, Commercial Operations) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +32,850 32,850 owned after | $3.06 exercise price | 2012-03-27 | |
| 2012-03-08 | Goldan Keith A. Officer (CFO and VP) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +39,300 39,300 owned after | $3.06 exercise price | 2012-03-27 | |
| 2012-03-08 | Sebree Terri B Officer (President) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +36,150 36,150 owned after | $3.06 exercise price | 2012-03-27 | |
| 2012-03-08 | Hollingsworth Jane H Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +115,650 115,650 owned after | $3.06 exercise price | 2012-03-27 |