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PATHEON INC Forms 3, 4 and 5: Stock Options

PATHEON INC Forms 3, 4 and 5: Stock Options

Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 92 rows, 92 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.

  • 2014-03-11: Reporting owner Gill Harry R III; Form 4; Security Employee Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
  • 2014-03-11: Reporting owner Gill Harry R III; Form 4; Security Employee Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
  • 2014-03-11: Reporting owner Gill Harry R III; Form 4; Security Employee Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
  • 2014-03-11: Reporting owner Gill Harry R III; Form 4; Security Employee Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
Transaction dateReporting ownerFormSecurityTransactionSharesPricePrice that dayFiling
2014-03-11Gill Harry R III
Officer (SVP Quality and Cont Improveme)
4Employee Stock Option (Right to Buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−30,000
0 owned after
$7.112014-03-12
2014-03-11Gill Harry R III
Officer (SVP Quality and Cont Improveme)
4Employee Stock Option (Right to Buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−110,000
0 owned after
$7.472014-03-12
2014-03-11Gill Harry R III
Officer (SVP Quality and Cont Improveme)
4Employee Stock Option (Right to Buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−100,000
0 owned after
$6.362014-03-12
2014-03-11Gill Harry R III
Officer (SVP Quality and Cont Improveme)
4Employee Stock Option (Right to Buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−50,000
0 owned after
$4.152014-03-12
2014-03-11Wilson Dean Frederick
Officer (VP Corporate Controller)
4Employee Stock Option (right to buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−15,000
0 owned after
$6.502014-03-12
2014-03-11Wilson Dean Frederick
Officer (VP Corporate Controller)
4Employee Stock Option (right to buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−40,000
0 owned after
$6.992014-03-12
2014-03-11Wilson Dean Frederick
Officer (VP Corporate Controller)
4Employee Stock Option (right to buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−31,500
0 owned after
$6.982014-03-12
2014-03-11Wilson Dean Frederick
Officer (VP Corporate Controller)
4Employee Stock Option (right to buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−30,000
0 owned after
$7.472014-03-12
2014-03-11Wilson Dean Frederick
Officer (VP Corporate Controller)
4Employee Stock Option (right to buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−20,000
0 owned after
$5.822014-03-12
2014-03-11Garofolo Paul M
Officer (EVP PDS Global Bus Ops)
4Employee Stock Option (right to buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−75,000
0 owned after
$5.572014-03-12
2014-03-11Garofolo Paul M
Officer (EVP PDS Global Bus Ops)
4Employee Stock Option (right to buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−50,000
0 owned after
$7.002014-03-12
2014-03-11Garofolo Paul M
Officer (EVP PDS Global Bus Ops)
4Employee Stock Option (right to buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−90,000
0 owned after
$6.992014-03-12
2014-03-11Garofolo Paul M
Officer (EVP PDS Global Bus Ops)
4Employee Stock Option (right to buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−132,000
0 owned after
$6.982014-03-12
2014-03-11Garofolo Paul M
Officer (EVP PDS Global Bus Ops)
4Employee Stock Option (right to buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−150,000
0 owned after
$7.472014-03-12
2014-03-11Glass Geoffrey Michael
Officer (President, Banner Life Science)
4Employee Stock Option (right to buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−150,000
0 owned after
$7.002014-03-12
2014-03-11Glass Geoffrey Michael
Officer (President, Banner Life Science)
4Employee Stock Option (right to buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−90,000
0 owned after
$6.992014-03-12
2014-03-11Glass Geoffrey Michael
Officer (President, Banner Life Science)
4Employee Stock Option (right to buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−107,000
0 owned after
$6.982014-03-12
2014-03-11Glass Geoffrey Michael
Officer (President, Banner Life Science)
4Employee Stock Option (right to buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−175,000
0 owned after
$7.472014-03-12
2014-03-11Glass Geoffrey Michael
Officer (President, Banner Life Science)
4Employee Stock Option (right to buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−20,000
0 owned after
$6.352014-03-12
2014-03-11Grant Stuart
Officer (Chief Financial Officer)
4Employee Stock Option (Right to Buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−393,000
0 owned after
$7.652014-03-12
2014-03-11Grant Stuart
Officer (Chief Financial Officer)
4Employee Stock Option (right to buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−125,000
0 owned after
$7.472014-03-12
2014-03-11New Rebecca Holland
Officer (SVP Human Resources)
4Employee Stock Option (Right to Buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−170,000
0 owned after
$7.932014-03-12
2014-03-11New Rebecca Holland
Officer (SVP Human Resources)
4Employee Stock Option (right to buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−194,250
0 owned after
$7.472014-03-12
2014-03-11LYTTON MICHAEL
Officer (EVP Corp Dev & Strategy and GC)
4Employee Stock Option (Right to Buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−240,000
0 owned after
$7.442014-03-12
2014-03-11Lehmann Michael J.
Officer (President, Global PDS)
4Employee Stock Option (right to buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−300,000
0 owned after
$6.352014-03-12
2014-03-11Lehmann Michael J.
Officer (President, Global PDS)
4Employee Stock Option (right to buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−50,000
0 owned after
$4.152014-03-12
2014-03-11FATMI AQEEL AHMAD
Officer (Chief Scientific Officer)
4Employee Stock Option (right to buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−90,000
0 owned after
$6.352014-03-12
2014-03-11Watchorn Derek John
Director
4Employee Stock Option (right to buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−5,000
0 owned after
$9.94
exercise price
2014-03-12
2014-03-11Watchorn Derek John
Director
4Employee Stock Option (right to buy)
Derivative · Direct
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)−5,000
0 owned after
$0.832014-03-12
2013-07-15LYTTON MICHAEL
Officer (EVP Corp Dev & Strategy and GC)
4Employee Stock Option (Right to Buy)
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−80,000
415,000 owned after
$0.002013-08-02
2013-06-27Mancuso Antonella
Officer (SVP Managing Director European)
4Employee Stock option (Right to Buy)
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−22,800
361,602 owned after
$0.002013-07-03
2013-06-06Lehmann Michael J.
Officer (President, Global PDS)
4Employee Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+50,000
350,000 owned after
$5.89
exercise price
2013-06-10
2013-06-06Gill Harry R III
Officer (SVP Quality and Cont Improveme)
4Employee Stock Option (Right to Buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+50,000
330,000 owned after
$5.89
exercise price
2013-06-10
2013-04-03Mancuso Antonella
Officer (President, Glbl Commercial Ops)
4Employee Stock Option (right to buy)
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−49,748
0 owned after
$3.20
exercise price
2013-04-05
2013-04-03Mancuso Antonella
Officer (President, Glbl Commercial Ops)
4Employee Stock Option (right to buy)
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−50,000
0 owned after
$2.54
exercise price
2013-04-05
2013-04-03Mancuso Antonella
Officer (President, Glbl Commercial Ops)
4Employee Stock Option (right to buy)
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−42,000
28,000 owned after
$2.55
exercise price
2013-04-05
2013-04-03Mancuso Antonella
Officer (President, Glbl Commercial Ops)
4Employee Stock Option (right to buy)
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−45,600
68,400 owned after
$2.56
exercise price
2013-04-05
2013-04-03Mancuso Antonella
Officer (President, Glbl Commercial Ops)
4Employee Stock Option (right to buy)
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−13,250
53,002 owned after
$1.82
exercise price
2013-04-05
2013-03-13Wilson Dean Frederick
Officer (VP Corporate Controller)
4Employee Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+20,000
136,500 owned after
$3.96
exercise price
2013-03-14
2013-01-18
holding as of filing
FATMI AQEEL AHMAD
Officer (Chief Scientific Officer)
3Employee Stock Option (Right to Buy)
Derivative · Direct
Holding$3.32
exercise price
2013-01-18
2013-01-04LYTTON MICHAEL
Officer (EVP Corp Dev & Strategy and GC)
4Employee Stock Option (Right to Buy)
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−80,000
495,000 owned after
$0.002013-01-07
2012-12-21MULLEN JAMES C
Director, Officer (Chief Executive Officer)
4Employee Stock Option (right to buy)
Derivative · Direct
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3−1,000,000
4,000,000 owned after
$0.002012-12-26
2012-12-21Lehmann Michael J.
Officer (President, Global PDS)
4Employee 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
$3.32
exercise price
2012-12-26
2012-12-21Glass Geoffrey Michael
Officer (EVP Global Sales & Marketing)
4Employee Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+20,000
542,000 owned after
$3.32
exercise price
2012-12-26
2012-09-20
holding as of filing
Gill Harry R III
Officer (SVP Quality and Cont Improveme)
3Employee Stock Option (Right to Buy)
Derivative · Direct
Holding$2.39
exercise price
2012-09-20
2012-09-20
holding as of filing
Gill Harry R III
Officer (SVP Quality and Cont Improveme)
3Employee Stock Option (Right to Buy)
Derivative · Direct
Holding$2.00
exercise price
2012-09-20
2012-09-18Gill Harry R III
Officer (SVP Quality and Cont Improveme)
4Employee Stock Option (Right to Buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+100,000
280,000 owned after
$3.38
exercise price
2012-09-20
2012-06-18Wilson Dean Frederick
Officer (VP Corporate Controller)
4Employee Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+30,000
116,500 owned after
$2.00
exercise price
2012-06-20
2012-06-18Garofolo Paul M
Officer (EVP PDS Global Bus Ops)
4Employee Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+150,000
497,000 owned after
$2.00
exercise price
2012-06-20
2012-06-18Glass Geoffrey Michael
Officer (EVP Global Sales & Marketing)
4Employee Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+175,000
522,000 owned after
$2.00
exercise price
2012-06-20
2012-06-18Grant Stuart
Officer (Chief Financial Officer)
4Employee Stock Option (Right to Buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+125,000
550,000 owned after
$2.00
exercise price
2012-06-20
2012-06-18New Rebecca Holland
Officer (SVP Human Resources)
4Employee Stock Option (Right to Buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+194,250
444,250 owned after
$2.00
exercise price
2012-06-20
2012-06-18Kontny Mark James
Officer (President Global Pharmaceutica)
4Employee Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+87,500
437,500 owned after
$2.00
exercise price
2012-06-20
2012-06-18LYTTON MICHAEL
Officer (EVP Corp Dev & Strategy and GC)
4Employee Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+175,000
575,000 owned after
$2.00
exercise price
2012-06-20
2012-06-18Mancuso Antonella
Officer (President, Glbl Commercial Ops)
4Employee Stock Option (Right to Buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+235,000
585,000 owned after
$2.00
exercise price
2012-06-20
2012-03-14Mancuso Antonella
Officer (President, Glbl Commercial Ops)
4Employee Stock Option (Right to Buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+66,252
350,000 owned after
$1.86
exercise price
2012-03-15
2012-03-14Grant Stuart
Officer (Chief Financial Officer)
4Employee Stock Option (Right to Buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+425,000
425,000 owned after
$1.86
exercise price
2012-03-15
2011-09-14New Rebecca Holland
Officer (SVP Human Resources)
4Employee 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
$1.56
exercise price
2011-09-16
2011-06-15LYTTON MICHAEL
Officer (EVP CORPORATE DEVELOPMENT & ST)
4Employee Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+400,000
400,000 owned after
$2.13
exercise price
2011-06-17
2011-04-26
holding as of filing
Wilson Dean Frederick
Officer (VP Corporate Controller)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$3.01
exercise price
2011-04-26
2011-04-26
holding as of filing
Wilson Dean Frederick
Officer (VP Corporate Controller)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$2.56
exercise price
2011-04-26
2011-04-26
holding as of filing
Wilson Dean Frederick
Officer (VP Corporate Controller)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$2.53
exercise price
2011-04-26
2011-04-26
holding as of filing
Horton Warren
Officer (VP Global Quality Operations)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$4.11
exercise price
2011-04-26
2011-04-26
holding as of filing
Horton Warren
Officer (VP Global Quality Operations)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$2.56
exercise price
2011-04-26
2011-04-26
holding as of filing
Horton Warren
Officer (VP Global Quality Operations)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$2.53
exercise price
2011-04-26
2011-04-26
holding as of filing
Mancuso Antonella
Officer (SVP Managing Director European)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$3.15
exercise price
2011-04-26
2011-04-26
holding as of filing
Mancuso Antonella
Officer (SVP Managing Director European)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$2.43
exercise price
2011-04-26
2011-04-26
holding as of filing
Mancuso Antonella
Officer (SVP Managing Director European)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$2.56
exercise price
2011-04-26
2011-04-26
holding as of filing
Mancuso Antonella
Officer (SVP Managing Director European)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$2.53
exercise price
2011-04-26
2011-04-26
holding as of filing
Kelley Andrew James
Officer (SVP Commercial Operations Euro)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$6.16
exercise price
2011-04-26
2011-04-26
holding as of filing
Kelley Andrew James
Officer (SVP Commercial Operations Euro)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$3.15
exercise price
2011-04-26
2011-04-26
holding as of filing
Kelley Andrew James
Officer (SVP Commercial Operations Euro)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$2.56
exercise price
2011-04-26
2011-04-26
holding as of filing
Kelley Andrew James
Officer (SVP Commercial Operations Euro)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$2.53
exercise price
2011-04-26
2011-04-26
holding as of filing
Glass Geoffrey Michael
Officer (EVP Global Strategy Sales Mark)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$2.43
exercise price
2011-04-26
2011-04-26
holding as of filing
Glass Geoffrey Michael
Officer (EVP Global Strategy Sales Mark)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$2.56
exercise price
2011-04-26
2011-04-26
holding as of filing
Glass Geoffrey Michael
Officer (EVP Global Strategy Sales Mark)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$2.53
exercise price
2011-04-26
2011-04-26
holding as of filing
Kontny Mark James
Officer (President Global Pharmaceutica)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$2.53
exercise price
2011-04-26
2011-04-26
holding as of filing
Bigelow Peter Thomas
Officer (President North American Opera)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$2.56
exercise price
2011-04-26
2011-04-26
holding as of filing
Bigelow Peter Thomas
Officer (President North American Opera)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$2.56
exercise price
2011-04-26
2011-04-26
holding as of filing
Evans Eric Wayne
Officer (EVP and Chief Financial Office)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$4.11
exercise price
2011-04-26
2011-04-26
holding as of filing
Evans Eric Wayne
Officer (EVP and Chief Financial Office)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$2.43
exercise price
2011-04-26
2011-04-26
holding as of filing
Evans Eric Wayne
Officer (EVP and Chief Financial Office)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$2.56
exercise price
2011-04-26
2011-04-26
holding as of filing
Evans Eric Wayne
Officer (EVP and Chief Financial Office)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$2.53
exercise price
2011-04-26
2011-04-26
holding as of filing
MULLEN JAMES C
Director, Officer (Chief Executive Officer)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$2.68
exercise price
2011-04-26
2011-04-26
holding as of filing
Watchorn Derek John
Director
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$7.64
exercise price
2011-04-26
2011-04-26
holding as of filing
Watchorn Derek John
Director
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$9.00
exercise price
2011-04-26
2011-04-26
holding as of filing
Watchorn Derek John
Director
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$8.12
exercise price
2011-04-26
2011-04-26
holding as of filing
Watchorn Derek John
Director
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$7.51
exercise price
2011-04-26
2011-04-26
holding as of filing
Garofolo Paul M
Officer (EVP and Chief Technology Offic)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$4.11
exercise price
2011-04-26
2011-04-26
holding as of filing
Garofolo Paul M
Officer (EVP and Chief Technology Offic)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$2.43
exercise price
2011-04-26
2011-04-26
holding as of filing
Garofolo Paul M
Officer (EVP and Chief Technology Offic)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$2.56
exercise price
2011-04-26
2011-04-26
holding as of filing
Garofolo Paul M
Officer (EVP and Chief Technology Offic)
3Employee Stock Option (right to buy)
Derivative · Direct
Holding$2.53
exercise price
2011-04-26