PROMETHEUS BIOSCIENCES, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 53 rows in 2023. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2023-06-16: Reporting owner Hendrix Martin; Form 4; Security Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2023-06-16: Reporting owner Hendrix Martin; Form 4; Security Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2023-06-16: Reporting owner Laur James; Form 4; Security Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2023-06-16: Reporting owner Laur James; Form 4; Security Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2023-06-16 | Hendrix Martin Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −40,000 0 owned after | $22.48 exercise price | 2023-06-16 | |
| 2023-06-16 | Hendrix Martin Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,500 0 owned after | $29.02 exercise price | 2023-06-16 | |
| 2023-06-16 | Laur James Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −40,000 0 owned after | $22.48 exercise price | 2023-06-16 | |
| 2023-06-16 | Laur James Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,500 0 owned after | $29.02 exercise price | 2023-06-16 | |
| 2023-06-16 | Stenhouse Mark Officer (Chief Operating Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −40,000 0 owned after | $0.50 exercise price | 2023-06-16 | |
| 2023-06-16 | Stenhouse Mark Officer (Chief Operating Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −240,000 0 owned after | $6.70 exercise price | 2023-06-16 | |
| 2023-06-16 | Stenhouse Mark Officer (Chief Operating Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −70,371 0 owned after | $36.32 exercise price | 2023-06-16 | |
| 2023-06-16 | Stenhouse Mark Officer (Chief Operating Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −86,582 0 owned after | $29.56 exercise price | 2023-06-16 | |
| 2023-06-16 | Stenhouse Mark Officer (Chief Operating Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −34,085 0 owned after | $110.20 exercise price | 2023-06-16 | |
| 2023-06-16 | Szela Mary T Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −40,000 0 owned after | $19.00 exercise price | 2023-06-16 | |
| 2023-06-16 | Szela Mary T Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,500 0 owned after | $29.02 exercise price | 2023-06-16 | |
| 2023-06-16 | McKenna Mark C. Director, Officer (Chairman, President and CEO) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −161,105 0 owned after | $2.90 exercise price | 2023-06-16 | |
| 2023-06-16 | McKenna Mark C. Director, Officer (Chairman, President and CEO) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −132,741 0 owned after | $1.70 exercise price | 2023-06-16 | |
| 2023-06-16 | McKenna Mark C. Director, Officer (Chairman, President and CEO) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,000 0 owned after | $3.10 exercise price | 2023-06-16 | |
| 2023-06-16 | McKenna Mark C. Director, Officer (Chairman, President and CEO) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −481,725 0 owned after | $3.70 exercise price | 2023-06-16 | |
| 2023-06-16 | McKenna Mark C. Director, Officer (Chairman, President and CEO) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −566,307 0 owned after | $6.70 exercise price | 2023-06-16 | |
| 2023-06-16 | McKenna Mark C. Director, Officer (Chairman, President and CEO) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −290,000 0 owned after | $36.32 exercise price | 2023-06-16 | |
| 2023-06-16 | McKenna Mark C. Director, Officer (Chairman, President and CEO) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −246,639 0 owned after | $29.56 exercise price | 2023-06-16 | |
| 2023-06-16 | McKenna Mark C. Director, Officer (Chairman, President and CEO) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −128,930 0 owned after | $110.20 exercise price | 2023-06-16 | |
| 2023-06-16 | Swain Judith L Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −30,000 0 owned after | $6.70 exercise price | 2023-06-16 | |
| 2023-06-16 | Swain Judith L Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −20,500 0 owned after | $29.02 exercise price | 2023-06-16 | |
| 2023-06-16 | PAPA JOSEPH C Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −15,000 0 owned after | $3.10 exercise price | 2023-06-16 | |
| 2023-06-16 | PAPA JOSEPH C Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −27,340 0 owned after | $3.70 exercise price | 2023-06-16 | |
| 2023-06-16 | PAPA JOSEPH C Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −22,652 0 owned after | $6.70 exercise price | 2023-06-16 | |
| 2023-06-16 | PAPA JOSEPH C Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −2,165 0 owned after | $36.32 exercise price | 2023-06-16 | |
| 2023-06-16 | PAPA JOSEPH C Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −22,551 0 owned after | $29.02 exercise price | 2023-06-16 | |
| 2023-06-16 | Hassan Fred Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −40,000 0 owned after | $16.82 exercise price | 2023-06-16 | |
| 2023-06-16 | Hassan Fred Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −541 0 owned after | $36.32 exercise price | 2023-06-16 | |
| 2023-06-16 | Hassan Fred Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −21,013 0 owned after | $29.02 exercise price | 2023-06-16 | |
| 2023-06-16 | Marshall Keith W Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −52,838 0 owned after | $3.10 exercise price | 2023-06-16 | |
| 2023-06-16 | Marshall Keith W Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −93,040 0 owned after | $3.70 exercise price | 2023-06-16 | |
| 2023-06-16 | Marshall Keith W Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −135,913 0 owned after | $6.70 exercise price | 2023-06-16 | |
| 2023-06-16 | Marshall Keith W Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −102,155 0 owned after | $36.32 exercise price | 2023-06-16 | |
| 2023-06-16 | Marshall Keith W Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −86,582 0 owned after | $29.56 exercise price | 2023-06-16 | |
| 2023-06-16 | Marshall Keith W Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −34,085 0 owned after | $110.20 exercise price | 2023-06-16 | |
| 2023-06-16 | Marshall Keith W Officer (Chief Financial Officer) | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −12,920 0 owned after | $108.76 exercise price | 2023-06-16 | |
| 2023-06-16 | Adams Helen C. Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −30,000 0 owned after | $6.70 exercise price | 2023-06-16 | |
| 2023-06-16 | Adams Helen C. Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,083 0 owned after | $36.32 exercise price | 2023-06-16 | |
| 2023-06-16 | Adams Helen C. Director | 4 | Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −21,526 0 owned after | $29.02 exercise price | 2023-06-16 | |
| 2023-06-02 | McKenna Mark C. Director, Officer (Chairman, President & CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −122,528 161,105 owned after | $2.90 exercise price | 2023-06-02 | |
| 2023-06-02 | McKenna Mark C. Director, Officer (Chairman, President & CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3 132,741 owned after | $1.70 exercise price | 2023-06-02 | |
| 2023-06-02 | Marshall Keith W Officer (Chief Financial Officer) | 4 | Stock Options (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −78,162 52,838 owned after | $3.10 exercise price | 2023-06-02 | |
| 2023-04-05 | Marshall Keith W Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 93,040 owned after | $3.70 exercise price | 2023-04-07 | |
| 2023-03-15 | McKenna Mark C. Director, Officer (Chairman, President & CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 283,633 owned after | $2.90 exercise price | 2023-03-17 | |
| 2023-03-06 | Marshall Keith W Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 103,040 owned after | $3.70 exercise price | 2023-03-08 | |
| 2023-03-03 | McKenna Mark C. Director, Officer (Chairman, President & CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,620 481,725 owned after | $3.70 exercise price | 2023-03-03 | |
| 2023-03-01 | McKenna Mark C. Director, Officer (Chairman, President & CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −700 492,345 owned after | $3.70 exercise price | 2023-03-03 | |
| 2023-02-17 | McKenna Mark C. Director, Officer (Chairman, President & CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,680 493,045 owned after | $3.70 exercise price | 2023-02-17 | |
| 2023-02-16 | McKenna Mark C. Director, Officer (Chairman, President & CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 506,725 owned after | $3.70 exercise price | 2023-02-17 | |
| 2023-02-15 | Marshall Keith W Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 113,040 owned after | $3.70 exercise price | 2023-02-17 | |
| 2023-02-15 | McKenna Mark C. Director, Officer (Chairman, President & CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 308,633 owned after | $2.90 exercise price | 2023-02-17 | |
| 2023-01-17 | Marshall Keith W Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 118,040 owned after | $3.70 exercise price | 2023-01-19 | |
| 2023-01-17 | McKenna Mark C. Director, Officer (Chairman, President & CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −25,000 333,633 owned after | $2.90 exercise price | 2023-01-19 |