PhenomeX Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 17 rows in 2022. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2022-09-19: Reporting owner Chaplin Scott David; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2022-09-16: Reporting owner Breinlinger Keith; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2022-07-25: Reporting owner Joshi Mehul; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2022-05-26: Reporting owner MORITZ MICHAEL J; 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 |
|---|---|---|---|---|---|---|---|---|
| 2022-09-19 | Chaplin Scott David Officer (Chief Legal Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +347,910 347,910 owned after | $3.29 exercise price | 2022-09-21 | |
| 2022-09-16 | Breinlinger Keith Officer (Chief Technical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,000 0 owned after | $0.12 exercise price | 2022-09-19 | |
| 2022-07-25 | Joshi Mehul Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +451,208 451,208 owned after | $4.35 exercise price | 2022-07-26 | |
| 2022-05-26 | MORITZ MICHAEL J Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +32,258 32,258 owned after | $4.60 exercise price | 2022-08-01 | |
| 2022-05-26 | Chiminski John R Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +32,258 32,258 owned after | $4.60 exercise price | 2022-08-01 | |
| 2022-05-26 | Hopfield Jessica Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +32,258 32,258 owned after | $4.60 exercise price | 2022-08-01 | |
| 2022-05-26 | Rothman James Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +32,258 32,258 owned after | $4.60 exercise price | 2022-08-01 | |
| 2022-05-26 | KHANDROS IGOR Y Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +32,258 32,258 owned after | $4.60 exercise price | 2022-08-01 | |
| 2022-05-26 | LUCIER GREGORY T Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +32,258 32,258 owned after | $4.60 exercise price | 2022-08-01 | |
| 2022-05-26 | NELSON ELIZABETH A Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +32,258 32,258 owned after | $4.60 exercise price | 2022-08-01 | |
| 2022-05-11 | Hobbs Eric Officer (see Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,302 0 owned after | $0.64 exercise price | 2022-05-13 | |
| 2022-05-11 | Hobbs Eric Officer (see Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −37,500 0 owned after | $0.64 exercise price | 2022-05-13 | |
| 2022-03-31 holding as of filing | McClaskey James Paul Officer (SVP, Chief Accounting Officer) | 3 | Stock Options (Right to Buy) Derivative · Direct | Holding | $48.40 exercise price | 2022-03-31 | ||
| 2022-03-31 holding as of filing | McClaskey James Paul Officer (SVP, Chief Accounting Officer) | 3 | Stock Options (Right to Buy) Derivative · Direct | Holding | $48.40 exercise price | 2022-03-31 | ||
| 2022-03-10 | Breinlinger Keith Officer (Chief Technical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +36,936 36,936 owned after | $5.69 exercise price | 2022-03-22 | |
| 2022-03-10 | Kadia Siddhartha Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +339,059 339,059 owned after | $5.69 exercise price | 2022-03-22 | |
| 2022-03-10 | Kadia Siddhartha Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +678,118 678,118 owned after | $5.69 exercise price | 2022-03-22 |