PROLOR BIOTECH, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 13 rows, 13 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2010-05-20: Reporting owner FROST PHILLIP MD ET AL | Frost Gamma Investments Trust; Form 4/A; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2010-05-20: Reporting owner Rubin Steven D; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2010-05-20: Reporting owner Rubin Steven D; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2010-05-20: Reporting owner FROST PHILLIP MD ET AL | Frost Gamma Investments Trust; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2010-05-20 | FROST PHILLIP MD ET AL | Frost Gamma Investments Trust Director, 10% Owner | 10% Owner | 4/A | Series A Convertible Preferred Stock Derivative · Indirect · Frost Gamma Investments Trust | C Conversion of derivative security | −632,000 0 owned after | $0.50 exercise price | 2010-06-17 | |
| 2010-05-20 | Rubin Steven D Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −8,000 0 owned after | $0.50 exercise price | 2010-06-16 | |
| 2010-05-20 | Rubin Steven D Director | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,500 0 owned after | $1.00 exercise price | 2010-06-16 | |
| 2010-05-20 | FROST PHILLIP MD ET AL | Frost Gamma Investments Trust Director, 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · Frost Gamma Investments Trust | C Conversion of derivative security | −632,000 0 owned after | $0.50 exercise price | 2010-06-15 | |
| 2010-05-20 | FROST PHILLIP MD ET AL | Frost Gamma Investments Trust Director, 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · Frost Gamma Investments Trust | C Conversion of derivative security | −825,000 0 owned after | $1.00 exercise price | 2010-06-15 | |
| 2010-05-20 | HSIAO JANE PH D Director | 4 | Series A Convertible Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −152,000 0 owned after | $0.50 exercise price | 2010-06-15 | |
| 2010-05-20 | HSIAO JANE PH D Director | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −170,000 0 owned after | $1.00 exercise price | 2010-06-15 | |
| 2009-07-23 | Frost Gamma Investments Trust | FROST PHILLIP MD ET AL 10% Owner | Director, 10% Owner | 4 | Series B Convertible Preferred Stock, par value $0.00001 per Derivative · Indirect · Frost Gamma Investments Trust | P Open market or private purchase of non-derivative or derivative security | +825,000 825,000 owned after | $2.00 | 2009-07-27 | |
| 2009-07-23 | HSIAO JANE PH D Director | 4 | Series B Convertible Preferred Stock, par value $0.00001 per Derivative · Indirect · Hsu Gamma Investment, L.P. | P Open market or private purchase of non-derivative or derivative security | +170,000 170,000 owned after | $2.00 | 2009-07-27 | |
| 2009-07-23 | Rubin Steven D Director | 4 | Series B Convertible Preferred Stock, par value $0.00001 per Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,500 2,500 owned after | $2.00 | 2009-07-27 | |
| 2008-03-25 | HSIAO JANE PH D Director | 4 | Series A Preferred Stock, par value $0.00001 per share Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +152,000 152,000 owned after | $2.50 | 2008-03-27 | |
| 2008-03-25 | Rubin Steven D Director | 4 | Series A Preferred Stock, par value $0.00001 per share Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +8,000 8,000 owned after | $2.50 | 2008-03-27 | |
| 2008-03-25 | FROST PHILLIP MD ET AL | Frost Gamma Investment Trust Director, 10% Owner | 10% Owner | 4 | Series A Preferred Stock, par value $0.00001 per share Derivative · Indirect · See Footnote | P Open market or private purchase of non-derivative or derivative security | +632,000 632,000 owned after | $2.50 | 2008-03-27 |