POLYMEDIX, INC Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 5 rows, 5 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2009-11-16: Reporting owner SLATTERY FRANK P JR; Form 4; Security Common Stock Warrant (right to buy); Transaction P Open market or private purchase of non-derivative or derivative security.
- 2008-09-23: Reporting owner O MALLEY SHAUN; Form 4; Security Series B Warrant; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2008-09-23: Reporting owner SLATTERY FRANK P JR; Form 4; Security Series B Warrant; Transaction P Open market or private purchase of non-derivative or derivative security.
- 2008-09-23: Reporting owner Loren Stefan; Form 4; Security Series B Warrant; 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 |
|---|---|---|---|---|---|---|---|---|
| 2009-11-16 | SLATTERY FRANK P JR Director | 4 | Common Stock Warrant (right to buy) Derivative · Indirect · By Kate Partners LP XX(B) | P Open market or private purchase of non-derivative or derivative security | +60,000 60,000 owned after | $1.25 exercise price | 2009-12-08 | |
| 2008-09-23 | O MALLEY SHAUN Director | 4 | Series B Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,143 2,143 owned after | no price filed | 2008-09-26 | |
| 2008-09-23 | SLATTERY FRANK P JR Director | 4 | Series B Warrant Derivative · Indirect · Purchase was by Kate Partners XX, L.P. is a family partnership which is controlled by Mr. Slattery. | P Open market or private purchase of non-derivative or derivative security | +42,900 42,900 owned after | no price filed | 2008-09-26 | |
| 2008-09-23 | Loren Stefan Director | 4 | Series B Warrant Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,150 2,150 owned after | no price filed | 2008-09-26 | |
| 2006-07-19 holding as of filing | Baquet William | Fordham Financial Management, Inc. 10% Owner | 10% Owner | 3 | Common Stock Purchase Warrants Derivative · Direct | Holding | $1.80 exercise price | 2006-07-19 |