PHARMOS CORP Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 7 rows, 7 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-05-01: Reporting owner JOHNSTON RICHARD; Form 3; Security Warrants; Transaction Holding.
- 2009-05-01: Reporting owner Demeter Trust; Form 3; Security Warrants; Transaction Holding.
- 2009-04-23: Reporting owner VENROCK MANAGEMENT III LLC | VENROCK ASSOCIATES | VENROCK ASSOCIATES III LP | VENROCK ENTERPRENEURS FUND LP | VENROCK MANAGEMENT LLC; Form 3; Security Common Stock Warrants (right to buy); Transaction Holding.
- 2009-04-23: Reporting owner TRAINOR III EUGENE A | NEA PARTNERS 10 L P | KRAMLICH C RICHARD | SANDELL SCOTT D | PERRY MARK W | BARRETT M JAMES | NEW ENTERPRISE ASSOCIATES 10 L P | BARRIS PETER J; Form 3; Security Common Stock Warrants; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2009-05-01 holding as of filing | JOHNSTON RICHARD 10% Owner | 3 | Warrants Derivative · Indirect · By Demeter Trust | Holding | $0.12 exercise price | 2009-05-01 | ||
| 2009-05-01 holding as of filing | Demeter Trust 10% Owner | 3 | Warrants Derivative · Direct | Holding | $0.12 exercise price | 2009-05-01 | ||
| 2009-04-23 holding as of filing | VENROCK MANAGEMENT III LLC | VENROCK ASSOCIATES | VENROCK ASSOCIATES III LP | VENROCK ENTERPRENEURS FUND LP | VENROCK MANAGEMENT LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Common Stock Warrants (right to buy) Derivative · Indirect · By Funds | Holding | $0.12 exercise price | 2009-04-23 | ||
| 2009-04-23 holding as of filing | TRAINOR III EUGENE A | NEA PARTNERS 10 L P | KRAMLICH C RICHARD | SANDELL SCOTT D | PERRY MARK W | BARRETT M JAMES | NEW ENTERPRISE ASSOCIATES 10 L P | BARRIS PETER J 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Common Stock Warrants Derivative · Direct | Holding | $0.12 exercise price | 2009-04-23 | ||
| 2009-04-21 | Johnston Robert F Director, Officer (Executive Chairman) | 4 | warrants Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +6,000,000 6,000,000 owned after | $0.12 exercise price | 2009-04-23 | |
| 2009-04-21 | NEWHALL CHARLES W III Director, 10% Owner | 4 | Common Stock Warrants Derivative · Indirect · See Note 1 | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000,000 8,000,000 owned after | $0.12 exercise price | 2009-04-23 | |
| 2009-04-21 | EVNIN ANTHONY B Director, 10% Owner | 4 | Common Stock Warrants (righ to buy) Derivative · Indirect · By Funds | P Open market or private purchase of non-derivative or derivative security | +4,000,000 4,000,000 owned after | $0.12 exercise price | 2009-04-23 |