PHARMOS CORP Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 12 rows, 12 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-04-21: Reporting owner Johnston Robert F; Form 4; Security convertible debentures; Transaction C Conversion of derivative security.
- 2009-04-21: Reporting owner NEWHALL CHARLES W III; Form 4; Security Convertible Debentures; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2008-01-25: Reporting owner MILLER LLOYD I III; Form 4; Security 10% Convertible Debenture; Transaction Holding.
- 2008-01-03: Reporting owner EVNIN ANTHONY B; Form 4/A; Security 10% Convertible Debentures; Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2009-04-21 | Johnston Robert F Director, Officer (Executive Chairman) | 4 | convertible debentures Derivative · Direct · (m) | C Conversion of derivative security | 0 owned after | $0.00 | 2009-04-23 | |
| 2009-04-21 | NEWHALL CHARLES W III Director, 10% Owner | 4 | Convertible Debentures Derivative · Indirect · See Note 1 | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | 0 owned after | $0.28 exercise price | 2009-04-23 | |
| 2008-01-25 holding as of filing | MILLER LLOYD I III 10% Owner | 4 | 10% Convertible Debenture Derivative · Direct | Holding | 1,000,000 owned after | $0.70 exercise price | 2008-01-25 | |
| 2008-01-03 | EVNIN ANTHONY B Director | 4/A | 10% Convertible Debentures Derivative · Indirect · By Fund | P Open market or private purchase of non-derivative or derivative security | +180,000 180,000 owned after | $0.28 exercise price | 2009-04-21 | |
| 2008-01-03 | EVNIN ANTHONY B Director | 4/A | 10% Convertible Debentures Derivative · Indirect · By Fund | P Open market or private purchase of non-derivative or derivative security | +800,000 800,000 owned after | $0.28 exercise price | 2009-04-21 | |
| 2008-01-03 | EVNIN ANTHONY B Director | 4/A | 10% Convertible Debentures Derivative · Indirect · By Fund | P Open market or private purchase of non-derivative or derivative security | +20,000 20,000 owned after | $0.28 exercise price | 2009-04-21 | |
| 2008-01-03 | NEWHALL CHARLES W III Director | 4 | Convertible Debentures Derivative · Indirect · See Note 1 | P Open market or private purchase of non-derivative or derivative security | $0.70 exercise price | 2008-01-07 | ||
| 2008-01-03 | Johnston Robert F Director, Officer (Executive Chairman) | 4 | convertible debentures Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | $0.70 exercise price | 2008-01-07 | ||
| 2008-01-03 | EVNIN ANTHONY B Director | 4 | 10% Convertible Debentures Derivative · Indirect · By Fund | P Open market or private purchase of non-derivative or derivative security | +180,000 180,000 owned after | $0.70 exercise price | 2008-01-07 | |
| 2008-01-03 | EVNIN ANTHONY B Director | 4 | 10% Convertible Debentures Derivative · Indirect · By Fund | P Open market or private purchase of non-derivative or derivative security | +800,000 800,000 owned after | $0.70 exercise price | 2008-01-07 | |
| 2008-01-03 | EVNIN ANTHONY B Director | 4 | 10% Convertible Debentures Derivative · Indirect · By Fund | P Open market or private purchase of non-derivative or derivative security | +20,000 20,000 owned after | $0.70 exercise price | 2008-01-07 | |
| 2008-01-03 | MILLER LLOYD I III 10% Owner | 4 | 10% Convertible Debenture Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +1,000,000 1,000,000 owned after | $0.70 exercise price | 2008-01-07 |