Societal CDMO, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 16 rows in 2019. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-05-13: Reporting owner HENWOOD GERALDINE; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2019-05-09: Reporting owner Flynn Karen; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2019-05-09: Reporting owner ALTOMARI ALFRED; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2019-05-09: Reporting owner Ashton William; 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 |
|---|---|---|---|---|---|---|---|---|
| 2019-05-13 | HENWOOD GERALDINE Director, Officer (President and CEO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −123,500 0 owned after | $2.47 exercise price | 2019-05-15 | |
| 2019-05-09 | Flynn Karen Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,888 10,888 owned after | $8.80 exercise price | 2019-05-13 | |
| 2019-05-09 | ALTOMARI ALFRED Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,888 10,888 owned after | $8.80 exercise price | 2019-05-10 | |
| 2019-05-09 | Ashton William Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,888 10,888 owned after | $8.80 exercise price | 2019-05-10 | |
| 2019-05-09 | CHURCHILL WINSTON J Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,888 10,888 owned after | $8.80 exercise price | 2019-05-10 | |
| 2019-05-09 | Weisman Wayne Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,888 10,888 owned after | $8.80 exercise price | 2019-05-10 | |
| 2019-05-09 | Reasons Bryan M. Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,888 10,888 owned after | $8.80 exercise price | 2019-05-10 | |
| 2019-05-09 | Berelowitz Michael Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,888 10,888 owned after | $8.80 exercise price | 2019-05-10 | |
| 2019-05-09 | Ajdler Arnaud Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,888 10,888 owned after | $8.80 exercise price | 2019-05-10 | |
| 2019-03-25 | Ajdler Arnaud 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 | $6.41 exercise price | 2019-03-27 | |
| 2019-01-18 | Lake Ryan David Officer (Chief Financial Officer) | 4/A | Employee 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 | $7.99 exercise price | 2019-02-19 | |
| 2019-01-18 | Celano Michael Officer (Chief Operating Officer) | 4/A | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +67,500 67,500 owned after | $7.99 exercise price | 2019-02-19 | |
| 2019-01-18 | HENWOOD GERALDINE Director, Officer (President and CEO) | 4/A | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +190,700 190,700 owned after | $7.99 exercise price | 2019-02-19 | |
| 2019-01-18 | HENWOOD GERALDINE Director, Officer (President and CEO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +171,184 171,184 owned after | $7.99 exercise price | 2019-01-23 | |
| 2019-01-18 | Celano Michael Officer (Chief Operating Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,592 60,592 owned after | $7.99 exercise price | 2019-01-23 | |
| 2019-01-18 | Lake Ryan David Officer (Chief Financial Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +53,859 53,859 owned after | $7.99 exercise price | 2019-01-23 |