PFO Global, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 4 rows, 4 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-06-29: Reporting owner CEVASCO MATTHEW G; Form 4; Security Employee Stock Options (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2015-12-14: Reporting owner Suter Rudolf; Form 4; Security Employee Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2015-07-10: Reporting owner Schwartz Jonathan W.; Form 3; Security Employee Stock Option (Right to Buy); Transaction Holding.
- 2015-07-10: Reporting owner Jethmalani Jagdish; Form 3; Security Employee Stock Option (Right to Buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-06-29 | CEVASCO MATTHEW G Officer (Chief Executive Officer) | 4 | Employee Stock Options (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,045,875 1,045,875 owned after | $0.30 exercise price | 2016-07-08 | |
| 2015-12-14 | Suter Rudolf Officer (President and CEO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,017,000 1,017,000 owned after | $0.30 exercise price | 2015-12-16 | |
| 2015-07-10 holding as of filing | Schwartz Jonathan W. Officer (Exec. VP - Manufacturing) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $3.33 exercise price | 2015-07-10 | ||
| 2015-07-10 holding as of filing | Jethmalani Jagdish Officer (Exec VP-Research & Developmen) | 3 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | $3.33 exercise price | 2015-07-10 |