Pareteum Corp Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 68 rows, 68 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-12-30: Reporting owner Tunon Luis Jimenez; Form 4; Security Option; Transaction J Other acquisition or disposition (describe transaction).
- 2020-12-30: Reporting owner Lippert Robert Lee; Form 4; Security Option; Transaction J Other acquisition or disposition (describe transaction).
- 2020-07-03: Reporting owner Bozzo Vic; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-06-05: Reporting owner VAN SANTE YVES ROGER; Form 4; Security Nonstatutory 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 |
|---|---|---|---|---|---|---|---|---|
| 2020-12-30 | Tunon Luis Jimenez Director | 4 | Option Derivative · Direct | J Other acquisition or disposition (describe transaction) | +1,069,020 1,069,020 owned after | $0.55 exercise price | 2020-12-31 | |
| 2020-12-30 | Lippert Robert Lee Director | 4 | Option Derivative · Direct | J Other acquisition or disposition (describe transaction) | +1,577,248 1,577,248 owned after | $0.55 exercise price | 2020-12-31 | |
| 2020-07-03 | Bozzo Vic Officer (Chief Commercial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $0.57 exercise price | 2020-07-07 | |
| 2020-06-05 | VAN SANTE YVES ROGER Director | 4 | Nonstatutory Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.57 exercise price | 2020-06-12 | |
| 2020-06-05 | VITALE MARY BETH Director | 4 | Nonstatutory Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 300,000 owned after | $0.57 exercise price | 2020-06-12 | |
| 2020-06-05 | Thomas Laura W. Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +350,000 350,000 owned after | $0.57 exercise price | 2020-06-12 | |
| 2020-06-05 | Thomas Laura W. Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $0.38 exercise price | 2020-06-12 | |
| 2020-06-05 | Weijermars Bart Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +350,000 350,000 owned after | $0.57 exercise price | 2020-06-12 | |
| 2020-01-03 | VAN SANTE YVES ROGER Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +350,000 350,000 owned after | $0.43 exercise price | 2020-06-12 | |
| 2020-01-03 | VITALE MARY BETH Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.36 exercise price | 2020-06-12 | |
| 2020-01-03 | VITALE MARY BETH Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $0.43 exercise price | 2020-06-12 | |
| 2020-01-03 | VITALE MARY BETH Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +58,533 58,533 owned after | $0.43 exercise price | 2020-06-12 | |
| 2020-01-03 | VITALE MARY BETH Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +103,239 103,239 owned after | $0.43 exercise price | 2020-06-12 | |
| 2020-01-03 | VAN SANTE YVES ROGER Director | 4/A | Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $0.43 exercise price | 2020-01-22 | |
| 2020-01-01 | Lippert Robert Lee Director | 4 | Option Derivative · Direct | J Other acquisition or disposition (describe transaction) | −100,000 0 owned after | $0.46 exercise price | 2020-12-31 | |
| 2019-08-21 | Thomas Laura W. Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $2.95 exercise price | 2020-06-12 | |
| 2019-01-02 | Bozzo Vic Officer (Chief Executive Officer) | 4 | Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 650,000 owned after | $1.72 exercise price | 2019-05-17 | |
| 2019-01-02 | O'Donnell Edward Officer (Chief Financial Officer) | 4 | Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,000 430,000 owned after | $1.72 exercise price | 2019-05-17 | |
| 2019-01-02 | McCarthy Denis Officer (President) | 4 | Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +400,000 400,000 owned after | $1.72 exercise price | 2019-05-17 | |
| 2019-01-02 | Lippert Robert Lee Director | 4 | Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $1.72 exercise price | 2019-05-17 | |
| 2019-01-02 | VAN SANTE YVES ROGER Director | 4 | Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $1.72 exercise price | 2019-05-17 | |
| 2018-10-17 | Weijermars Bart Officer (See Remarks) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +138,655 138,655 owned after | $3.04 exercise price | 2020-06-12 | |
| 2018-10-15 holding as of filing | McCarthy Denis Officer (President) | 3 | Stock Options (right to buy) Derivative · Direct | Holding | $2.37 exercise price | 2018-10-15 | ||
| 2018-05-15 | O'Donnell Edward J Officer (Chief Financial Officer) | 4 | Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 0 owned after | $2.37 exercise price | 2018-05-16 | |
| 2018-05-15 | Bozzo Vic Officer (Chief Executive Officer) | 4 | Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500,000 0 owned after | $2.37 exercise price | 2018-05-16 | |
| 2017-11-17 | Thomas Laura W. Director | 4 | Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 0 owned after | $1.00 exercise price | 2017-11-21 | |
| 2017-06-26 | O'Donnell Edward Officer (CHIEF FINANCIAL OFFICER) | 4 | Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 111,109 owned after | $1.00 exercise price | 2018-03-29 | |
| 2017-02-22 holding as of filing | Kloots Erik Officer (See Remarks) | 3 | Options to purchase common stock Derivative · Direct | Holding | $1.35 exercise price | 2017-02-22 | ||
| 2017-02-22 holding as of filing | Kloots Erik Officer (See Remarks) | 3 | Options to purchase common stock Derivative · Direct | Holding | $2.50 exercise price | 2017-02-22 | ||
| 2017-02-22 holding as of filing | Kloots Erik Officer (See Remarks) | 3 | Options to purchase common stock Derivative · Direct | Holding | $1.52 exercise price | 2017-02-22 | ||
| 2017-02-22 holding as of filing | Kloots Erik Officer (See Remarks) | 3 | Options to purchase common stock Derivative · Direct | Holding | $0.88 exercise price | 2017-02-22 | ||
| 2017-02-22 holding as of filing | Kloots Erik Officer (See Remarks) | 3 | Options to purchase common stock Derivative · Direct | Holding | $0.82 exercise price | 2017-02-22 | ||
| 2017-01-13 holding as of filing | O'Donnell Edward Officer (Chief Financial Officer) | 3 | Options to purchase common stock Derivative · Direct | Holding | $0.11 exercise price | 2017-01-13 | ||
| 2016-11-18 | Turner Robert Harold Director, Officer (See Remarks) | 4/A | Options to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 300,000 owned after | $3.50 exercise price | 2018-06-11 | |
| 2016-11-18 | Turner Robert Harold Officer (See Remarks) | 4 | Options to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,500,000 7,500,000 owned after | $0.14 exercise price | 2016-11-22 | |
| 2016-11-15 holding as of filing | Bozzo Vic Officer (Chief Executive Officer) | 3 | Options to purchase common stock Derivative · Direct | Holding | $0.17 exercise price | 2016-11-15 | ||
| 2015-12-28 holding as of filing | Hessler Armin Officer (Chief Operating Officer) | 3 | Stock options (right to buy) Derivative · Direct | Holding | $0.39 exercise price | 2015-12-28 | ||
| 2015-12-16 | Brandt Gary G Officer (Chief Restructuring Officer) | 4 | Options to purchase Common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,500,000 1,500,000 owned after | $0.24 exercise price | 2016-11-16 | |
| 2015-11-16 | VAN DER VELDEN STEVEN PAUL KAREL MARIE Director, Officer (Former CEO and President), 10% Owner | 4 | Employee Stock Option (right to buy) Derivative · Indirect · By Interfield Consultancy. See footnote | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,200,000 0 owned after | $0.94 exercise price | 2015-11-24 | |
| 2015-11-16 | VAN DER VELDEN STEVEN PAUL KAREL MARIE Director, Officer (Former CEO and President), 10% Owner | 4 | Employee Stock Option (right to buy) Derivative · Indirect · By Interfield Consultancy. See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,200,000 1,200,000 owned after | $0.94 exercise price | 2015-11-24 | |
| 2015-11-16 | Turner Robert Harold Director | 4 | Options to Purchase Common Stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,500,000 2,500,000 owned after | $0.33 exercise price | 2015-11-23 | |
| 2015-01-29 | Nije Mark Officer (Chief Financial Officer) | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.79 exercise price | 2015-03-27 | |
| 2015-01-29 | Vermeulen Alex Officer (Secretary; General Counsel) | 4 | Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.79 exercise price | 2015-03-27 | |
| 2015-01-23 | Zuurbier Martin Officer (Chief Technical Officer) | 4 | Option (right to buy) Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,400,000 2,400,000 owned after | $0.81 exercise price | 2015-03-27 | |
| 2013-12-09 | BROEK FLORIS VAN DEN Officer (VP of ETCC) | 4 | Non-qualified Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +900,000 900,000 owned after | $1.25 exercise price | 2013-12-11 | |
| 2013-12-04 | VAN DER VELDEN STEVEN PAUL KAREL MARIE Director, Officer (CEO and President), 10% Owner | 4 | Employee Stock Option (right to buy) Derivative · Indirect · By Interfield Consultancy. See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,200,000 1,200,000 owned after | $0.94 exercise price | 2013-12-09 | |
| 2013-11-04 | BURMESTER PAUL ROBERT Officer (CEO of ValidSoft) | 4/A | Non-qualified Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +900,000 900,000 owned after | $0.62 exercise price | 2014-01-23 | |
| 2013-11-04 | BURMESTER PAUL ROBERT Officer (CEO of ValidSoft) | 4 | Non-qualified Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +4,500,000 4,500,000 owned after | $0.62 exercise price | 2013-11-21 | |
| 2013-04-05 | Zuurbier Martin Officer (Chief Technical Officer) | 4 | Option Derivative · Indirect · By Interact WLL - see Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +360,000 382,706 owned after | $0.91 exercise price | 2013-04-12 | |
| 2013-04-05 | Zuurbier Martin Officer (Chief Technical Officer) | 4 | Option Derivative · Indirect · By Interact WLL - see Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +360,000 742,706 owned after | $1.91 exercise price | 2013-04-12 | |
| 2013-04-05 | Zuurbier Martin Officer (Chief Technical Officer) | 4 | Option Derivative · Indirect · By Interact WLL - see Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +360,000 1,102,706 owned after | $2.91 exercise price | 2013-04-12 | |
| 2013-04-05 | Carroll Patrick M. Officer (CEO of ValidSoft) | 4 | Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +360,000 380,913 owned after | $0.91 exercise price | 2013-04-12 | |
| 2013-04-05 | Carroll Patrick M. Officer (CEO of ValidSoft) | 4 | Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +360,000 740,913 owned after | $1.91 exercise price | 2013-04-12 | |
| 2013-04-05 | Carroll Patrick M. Officer (CEO of ValidSoft) | 4 | Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +360,000 1,100,913 owned after | $2.91 exercise price | 2013-04-12 | |
| 2013-04-05 | Nije Mark Officer (Chief Financial Officer) | 4 | Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +240,000 256,731 owned after | $0.91 exercise price | 2013-04-12 | |
| 2013-04-05 | Nije Mark Officer (Chief Financial Officer) | 4 | Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +240,000 496,731 owned after | $1.91 exercise price | 2013-04-12 | |
| 2013-04-05 | Nije Mark Officer (Chief Financial Officer) | 4 | Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +240,000 736,731 owned after | $2.91 exercise price | 2013-04-12 | |
| 2013-04-05 | VAN DER VELDEN STEVEN PAUL KAREL MARIE Director, Officer (CEO and President), 10% Owner | 4 | Option Derivative · Indirect · By Interfield Consultancy. See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +480,000 507,247 owned after | $0.91 exercise price | 2013-04-12 | |
| 2013-04-05 | VAN DER VELDEN STEVEN PAUL KAREL MARIE Director, Officer (CEO and President), 10% Owner | 4 | Option Derivative · Indirect · By Interfield Consultancy. See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +480,000 987,247 owned after | $1.91 exercise price | 2013-04-12 | |
| 2013-04-05 | VAN DER VELDEN STEVEN PAUL KAREL MARIE Director, Officer (CEO and President), 10% Owner | 4 | Option Derivative · Indirect · By Interfield Consultancy. See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +480,000 1,467,247 owned after | $2.91 exercise price | 2013-04-12 | |
| 2013-04-05 | Vermeulen Alex Officer (Secretary; General Counsel) | 4 | Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +120,000 130,038 owned after | $0.91 exercise price | 2013-04-12 | |
| 2013-04-05 | Vermeulen Alex Officer (Secretary; General Counsel) | 4 | Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +120,000 250,038 owned after | $1.91 exercise price | 2013-04-12 | |
| 2013-04-05 | Vermeulen Alex Officer (Secretary; General Counsel) | 4 | Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +120,000 370,038 owned after | $2.91 exercise price | 2013-04-12 | |
| 2012-08-21 | Zuurbier Martin Officer (Chief Technical Officer) | 4 | Option Derivative · Indirect · By Interact WLL - see Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +22,706 22,706 owned after | $1.21 exercise price | 2013-04-12 | |
| 2012-08-21 | Carroll Patrick M. Officer (CEO of ValidSoft) | 4 | Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,913 20,913 owned after | $1.21 exercise price | 2013-04-12 | |
| 2012-08-21 | Nije Mark Officer (Chief Financial Officer) | 4 | Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,731 16,731 owned after | $1.21 exercise price | 2013-04-12 | |
| 2012-08-21 | VAN DER VELDEN STEVEN PAUL KAREL MARIE Director, Officer (CEO and President), 10% Owner | 4 | Option Derivative · Indirect · By Interfield Consultancy. See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,247 27,247 owned after | $1.21 exercise price | 2013-04-12 | |
| 2012-08-21 | Vermeulen Alex Officer (Secretary; General Counsel) | 4 | Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,038 10,038 owned after | $1.21 exercise price | 2013-04-12 |