PROLOR BIOTECH, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 9 rows, 9 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-04-12: Reporting owner HSIAO JANE PH D; Form 4; Security Common Stock Warrants (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2012-04-12: Reporting owner Frost Gamma Investments Trust | FROST PHILLIP MD ET AL; Form 4; Security Common Stock Warrants (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2012-04-12: Reporting owner Rubin Steven D; Form 4; Security Common Stock Warrants (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2008-03-05: Reporting owner Rubin Steven D; Form 3; Security Warrants; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-04-12 | HSIAO JANE PH D Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −63,333 0 owned after | $2.50 exercise price | 2012-04-13 | |
| 2012-04-12 | Frost Gamma Investments Trust | FROST PHILLIP MD ET AL 10% Owner | Director, 10% Owner | 4 | Common Stock Warrants (right to buy) Derivative · Indirect · Frost Gamma Investments Trust | X Exercise of in-the-money or at-the-money derivative security | −266,666 0 owned after | $2.50 exercise price | 2012-04-12 | |
| 2012-04-12 | Rubin Steven D Director | 4 | Common Stock Warrants (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −1,667 0 owned after | $2.50 exercise price | 2012-04-12 | |
| 2008-03-05 holding as of filing | Rubin Steven D Director | 3 | Warrants Derivative · Direct | Holding | $2.50 exercise price | 2008-03-05 | ||
| 2007-06-21 holding as of filing | FROST PHILLIP MD ET AL | Frost Gamma Investment Trust Director, 10% Owner | Director, 10% Owner | 3/A | Warrants Derivative · Indirect · By Frost Gamma Investments Trust | Holding | $2.50 exercise price | 2007-06-21 | ||
| 2007-06-19 holding as of filing | STERN ADAM K Director | 3 | Warrant (right to buy) Derivative · Direct | Holding | $0.88 exercise price | 2007-06-19 | ||
| 2007-06-19 holding as of filing | STERN ADAM K Director | 3 | Warrant (right to buy) Derivative · Direct | Holding | $2.50 exercise price | 2007-06-19 | ||
| 2007-06-19 holding as of filing | Frost Gamma Investment Trust | FROST PHILLIP MD ET AL Director, 10% Owner | Director, 10% Owner | 3 | Warrants Derivative · Indirect · By Frost Gamma Investments Trust | Holding | $5.50 exercise price | 2007-06-19 | ||
| 2007-06-19 holding as of filing | HSIAO JANE PH D Director | 3 | Warrants Derivative · Direct | Holding | $2.50 exercise price | 2007-06-19 |