Peak Bio, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 6 rows, 6 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2024-11-14: Reporting owner Patel Sandip I; Form 4; Security Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2024-11-14: Reporting owner Neal James R; Form 4; Security Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2024-11-14: Reporting owner Huh Hoyoung; Form 4; Security Stock Option (Right to Buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2022-11-01: Reporting owner Mitra Satyajit Kumar; 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 |
|---|---|---|---|---|---|---|---|---|
| 2024-11-14 | Patel Sandip I Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | 0 owned after | $0.80 exercise price | 2024-11-18 | |
| 2024-11-14 | Neal James R Director | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | 0 owned after | $0.80 exercise price | 2024-11-18 | |
| 2024-11-14 | Huh Hoyoung Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | 0 owned after | $0.80 exercise price | 2024-11-18 | |
| 2022-11-01 | Mitra Satyajit Kumar Officer (See Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,647 18,647 owned after | $6.10 exercise price | 2022-11-03 | |
| 2022-11-01 | Mitra Satyajit Kumar Officer (See Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +31,700 31,700 owned after | $8.05 exercise price | 2022-11-03 | |
| 2022-11-01 | LaMond Stephen J Director, Officer (See Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +65,265 65,265 owned after | $8.05 exercise price | 2022-11-03 |