PLx Pharma Winddown Corp. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 75 rows, 75 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2022-02-22: Reporting owner Valentino Michael J; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2022-02-22: Reporting owner O'Connor Rita M; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2022-02-22: Reporting owner HADDEN JOHN; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2022-02-22: Reporting owner Giordano Natasha; 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 |
|---|---|---|---|---|---|---|---|---|
| 2022-02-22 | Valentino Michael J Director, Officer (Executive Chairman) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,000 80,000 owned after | $4.99 exercise price | 2022-02-24 | |
| 2022-02-22 | O'Connor Rita M Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +110,000 110,000 owned after | $4.99 exercise price | 2022-02-24 | |
| 2022-02-22 | HADDEN JOHN Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $4.99 exercise price | 2022-02-24 | |
| 2022-02-22 | Giordano Natasha 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) | +300,000 300,000 owned after | $4.99 exercise price | 2022-02-24 | |
| 2022-02-22 | Casale Robert Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $4.99 exercise price | 2022-02-24 | |
| 2022-02-22 | Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $4.99 exercise price | 2022-02-24 | |
| 2022-02-22 | Balkema Gary S. Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $4.99 exercise price | 2022-02-24 | |
| 2021-08-09 | O'Connor Rita M Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $16.97 exercise price | 2021-08-11 | |
| 2021-08-09 | Giordano Natasha 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) | +200,000 200,000 owned after | $16.97 exercise price | 2021-08-11 | |
| 2020-11-18 | Valentino Michael J Director, Officer (Executive Chairman) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +160,000 160,000 owned after | $5.15 exercise price | 2020-11-20 | |
| 2020-11-18 | O'Connor Rita M Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +174,000 174,000 owned after | $5.15 exercise price | 2020-11-20 | |
| 2020-11-18 | HADDEN JOHN Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $5.15 exercise price | 2020-11-20 | |
| 2020-11-18 | Giordano Natasha 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) | +350,000 350,000 owned after | $5.15 exercise price | 2020-11-20 | |
| 2020-11-18 | Casale Robert Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $5.15 exercise price | 2020-11-20 | |
| 2020-11-18 | CALHOUN KIRK K Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $5.15 exercise price | 2020-11-20 | |
| 2020-11-18 | Balkema Gary S. Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $5.15 exercise price | 2020-11-20 | |
| 2020-03-20 | Valentino Michael J Director, Officer (Executive Chairman) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,000 80,000 owned after | $2.16 exercise price | 2020-03-24 | |
| 2020-03-20 | O'Connor Rita M Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +87,000 87,000 owned after | $2.16 exercise price | 2020-03-24 | |
| 2020-03-20 | HADDEN JOHN Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $2.16 exercise price | 2020-03-24 | |
| 2020-03-20 | Giordano Natasha 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) | +175,000 175,000 owned after | $2.16 exercise price | 2020-03-24 | |
| 2020-03-20 | Deliargyris Efthymios Officer (Chief Medical Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,000 60,000 owned after | $2.16 exercise price | 2020-03-24 | |
| 2020-03-20 | Casale Robert Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $2.16 exercise price | 2020-03-24 | |
| 2020-03-20 | CALHOUN KIRK K Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $2.16 exercise price | 2020-03-24 | |
| 2020-03-20 | Balkema Gary S. Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $2.16 exercise price | 2020-03-24 | |
| 2019-03-14 | Valentino Michael J Director, Officer (Executive Chairman) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,000 80,000 owned after | $5.79 exercise price | 2019-03-18 | |
| 2019-03-14 | O'Connor Rita M Officer (Chief Financial Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +123,675 123,675 owned after | $5.79 exercise price | 2019-03-18 | |
| 2019-03-14 | HADDEN JOHN Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $5.79 exercise price | 2019-03-18 | |
| 2019-03-14 | Giordano Natasha Director, Officer (Chief Executive Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +211,675 211,675 owned after | $5.79 exercise price | 2019-03-18 | |
| 2019-03-14 | Deliargyris Efthymios Officer (Chief Medical Officer) | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,000 60,000 owned after | $5.79 exercise price | 2019-03-18 | |
| 2019-03-14 | Casale Robert Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $5.79 exercise price | 2019-03-18 | |
| 2019-03-14 | CALHOUN KIRK K Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $5.79 exercise price | 2019-03-18 | |
| 2019-03-14 | Balkema Gary S. Director | 4 | Stock Option Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $5.79 exercise price | 2019-03-18 | |
| 2018-08-29 | Deliargyris Efthymios Officer (Chief Medical Officer) | 4 | Stock option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +70,000 70,000 owned after | $3.18 exercise price | 2018-08-31 | |
| 2017-08-11 | Giordano Natasha Director, Officer (CEO) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +86,872 86,872 owned after | $6.72 exercise price | 2017-08-14 | |
| 2017-07-11 holding as of filing | O'Connor Rita M Officer (Chief Financial Officer) | 3 | Options Derivative · Direct | Holding | $6.28 exercise price | 2017-07-11 | ||
| 2017-05-05 holding as of filing | Dillon Michael J. Officer (VP, Sales and Marketing) | 3 | Employee Stock Option Derivative · Direct | Holding | $7.98 exercise price | 2017-05-05 | ||
| 2017-04-19 | LUCI DAVID P Director | 4 | Options Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −298,826 0 owned after | $13.93 exercise price | 2017-04-21 | |
| 2017-04-19 | Valentino Michael J Director, Officer (Executive Chairman) | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +112,509 112,509 owned after | $12.44 exercise price | 2017-04-20 | |
| 2017-04-19 | MOSSMAN GARY L Officer (Chief Operating Officer) | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +69,755 69,755 owned after | $12.44 exercise price | 2017-04-20 | |
| 2017-04-19 | JORDEN DAVID EMERSON Officer (Acting Chief Financial Officer) | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +33,753 33,753 owned after | $12.44 exercise price | 2017-04-20 | |
| 2017-04-19 | HADDEN JOHN Director | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,002 9,002 owned after | $12.44 exercise price | 2017-04-20 | |
| 2017-04-19 | Giordano Natasha Director, Officer (President and CEO) | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +216,580 216,580 owned after | $12.44 exercise price | 2017-04-20 | |
| 2017-04-19 | Casale Robert Director | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,002 9,002 owned after | $12.44 exercise price | 2017-04-20 | |
| 2017-04-19 | CALHOUN KIRK K Director | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,002 9,002 owned after | $12.44 exercise price | 2017-04-20 | |
| 2017-04-19 | Balkema Gary S. Director | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +9,002 9,002 owned after | $12.44 exercise price | 2017-04-20 | |
| 2017-01-17 | LUCI DAVID P Director | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +275,000 275,000 owned after | $1.80 exercise price | 2017-04-21 | |
| 2017-01-17 | Shawah Robert G. Officer (Chief Accounting Officer) | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +130,000 130,000 owned after | $1.80 exercise price | 2017-04-20 | |
| 2017-01-17 | McSherry, Jr. William J. Director | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $1.80 exercise price | 2017-04-20 | |
| 2017-01-17 | Kagan Barry Director | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $1.80 exercise price | 2017-04-20 | |
| 2017-01-17 | HARRISON THOMAS L Director | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $1.80 exercise price | 2017-04-20 | |
| 2017-01-17 | DEAN JACK H Director | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $1.80 exercise price | 2017-04-20 | |
| 2017-01-17 | Duffy Michael E. Director | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $1.80 exercise price | 2017-04-20 | |
| 2017-01-17 | DELUCCIA ROBERT J Director, Officer (Executive Chairman), 10% Owner | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +183,332 183,332 owned after | $1.80 exercise price | 2017-04-20 | |
| 2016-01-19 | McSherry, Jr. William J. Director | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,000 18,000 owned after | $10.16 | 2016-01-21 | |
| 2016-01-19 | Garrett David Officer (VP Finance & Corp. Dev) | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 35,000 owned after | $10.16 | 2016-01-21 | |
| 2016-01-19 | LUCI DAVID P Director, Officer (President, CEO, Secretary), 10% Owner | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 35,000 owned after | $10.16 | 2016-01-21 | |
| 2016-01-19 | DELUCCIA ROBERT J Director, Officer (Executive Chairman), 10% Owner | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 35,000 owned after | $10.16 | 2016-01-21 | |
| 2016-01-19 | Kagan Barry Director | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,000 18,000 owned after | $10.16 | 2016-01-21 | |
| 2016-01-19 | DEAN JACK H Director | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,000 18,000 owned after | $10.16 | 2016-01-21 | |
| 2016-01-19 | Duffy Michael E. Director | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,000 18,000 owned after | $10.16 | 2016-01-21 | |
| 2016-01-19 | Shawah Robert G. Officer (Chief Accounting Officer) | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +65,000 65,000 owned after | $10.16 | 2016-01-21 | |
| 2016-01-19 | HARRISON THOMAS L Director | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +18,000 18,000 owned after | $10.16 | 2016-01-21 | |
| 2015-02-03 holding as of filing | Kagan Barry Director | 3 | Options Derivative · Direct | Holding | $11.35 exercise price | 2015-02-03 | ||
| 2015-01-05 | McSherry, Jr. William J. Director | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $11.35 | 2015-02-18 | |
| 2015-01-05 | DEAN JACK H Director | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $11.35 | 2015-02-02 | |
| 2015-01-05 | Garrett David Officer (VP, Finance & Corp. Dev) | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 205,756 owned after | $11.35 | 2015-01-29 | |
| 2015-01-05 | LUCI DAVID P Director, Officer (President, CEO, Secretary), 10% Owner | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 333,826 owned after | $11.35 | 2015-01-29 | |
| 2015-01-05 | Shawah Robert G. Officer (Chief Accounting Officer) | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 120 owned after | $11.35 | 2015-01-29 | |
| 2015-01-05 | HARRISON THOMAS L Director | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $11.35 | 2015-01-29 | |
| 2015-01-05 | Duffy Michael E. Director | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $11.35 | 2015-01-29 | |
| 2015-01-05 | DELUCCIA ROBERT J Director, Officer (Executive Chairman), 10% Owner | 4 | Options Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 333,826 owned after | $11.35 | 2015-01-29 | |
| 2014-03-18 | Shawah Robert G. Officer (Chief Accounting Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +85,379 85,379 owned after | $13.93 exercise price | 2014-03-19 | |
| 2014-03-18 | LUCI DAVID P Director, Officer (President, CEO, Secretary), 10% Owner | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +298,826 298,826 owned after | $13.93 exercise price | 2014-03-19 | |
| 2014-03-18 | Garrett David Officer (VP, Finance & Corp. Dev.) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +170,756 170,756 owned after | $13.93 exercise price | 2014-03-19 | |
| 2014-03-18 | DELUCCIA ROBERT J Director, Officer (Executive Chairman), 10% Owner | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +298,826 298,826 owned after | $13.93 exercise price | 2014-03-19 |