Societal CDMO, Inc. Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 39 rows, 39 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-06-05: Reporting owner Lake Ryan David; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2021-01-18: Reporting owner HENWOOD GERALDINE; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2020-06-05: Reporting owner Lake Ryan David; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2020-01-18: Reporting owner HENWOOD GERALDINE; Form 4; Security Restricted Stock Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-06-05 | Lake Ryan David Officer (Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 0 owned after | $0.00 | 2021-06-08 | |
| 2021-01-18 | HENWOOD GERALDINE Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $0.00 | 2021-01-20 | |
| 2020-06-05 | Lake Ryan David Officer (Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 2,500 owned after | $0.00 | 2020-06-09 | |
| 2020-01-18 | HENWOOD GERALDINE Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 5,000 owned after | $0.00 | 2020-01-22 | |
| 2019-06-05 | Lake Ryan David Officer (Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 5,000 owned after | $0.00 | 2019-06-07 | |
| 2019-01-18 | Celano Michael Officer (Chief Operating Officer) | 4/A | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,400 12,800 owned after | $0.00 | 2019-02-19 | |
| 2019-01-18 | HENWOOD GERALDINE Director, Officer (President and CEO) | 4/A | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 10,000 owned after | $0.00 | 2019-02-19 | |
| 2019-01-18 | HENWOOD GERALDINE Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | +5,000 10,000 owned after | $0.00 | 2019-01-23 | |
| 2019-01-18 | Celano Michael Officer (Chief Operating Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,400 12,800 owned after | $0.00 | 2019-01-23 | |
| 2018-06-05 | Lake Ryan David Officer (Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 7,500 owned after | $0.00 | 2018-06-07 | |
| 2018-05-12 | Ashton William Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,274 0 owned after | $0.00 | 2018-05-14 | |
| 2018-05-12 | Flynn Karen Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,274 0 owned after | $0.00 | 2018-05-14 | |
| 2018-05-12 | Weisman Wayne Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,274 0 owned after | $0.00 | 2018-05-14 | |
| 2018-05-12 | CHURCHILL WINSTON J Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,274 0 owned after | $0.00 | 2018-05-14 | |
| 2018-05-12 | Berelowitz Michael Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,274 0 owned after | $0.00 | 2018-05-14 | |
| 2018-05-12 | ALTOMARI ALFRED Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −13,274 0 owned after | $0.00 | 2018-05-14 | |
| 2018-05-12 | Reasons Bryan M. Director | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,849 0 owned after | $0.00 | 2018-05-14 | |
| 2018-01-18 | HENWOOD GERALDINE Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 15,000 owned after | $0.00 | 2018-01-22 | |
| 2018-01-18 | McCallum Stewart Officer (Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 18,000 owned after | $0.00 | 2018-01-22 | |
| 2018-01-18 | Mack Randall Officer (Senior VP, Development) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,100 9,300 owned after | $0.00 | 2018-01-22 | |
| 2018-01-18 | Graff Fred Officer (Chief Commercial Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,000 18,000 owned after | $0.00 | 2018-01-22 | |
| 2018-01-18 | Myers Diane Officer (Senior VP-Reg/Quality) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 7,500 owned after | $0.00 | 2018-01-22 | |
| 2018-01-18 | Celano Michael Officer (Chief Operating Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,400 19,200 owned after | $0.00 | 2018-01-22 | |
| 2017-08-21 | Mattila Jyrki Officer (Executive VP, Business Dev.) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,000 12,000 owned after | $0.00 | 2017-08-21 | |
| 2017-06-05 | Lake Ryan David Officer (Senior VP, Finance & CAO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $0.00 | 2017-06-07 | |
| 2017-05-12 | Reasons Bryan M. Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,849 8,849 owned after | $0.00 | 2017-05-16 | |
| 2017-05-12 | Berelowitz Michael Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,274 13,274 owned after | $0.00 | 2017-05-16 | |
| 2017-05-12 | Weisman Wayne Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,274 13,274 owned after | $0.00 | 2017-05-16 | |
| 2017-05-12 | Flynn Karen Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,274 13,274 owned after | $0.00 | 2017-05-16 | |
| 2017-05-12 | ALTOMARI ALFRED Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,274 13,274 owned after | $0.00 | 2017-05-16 | |
| 2017-05-12 | Ashton William Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,274 13,274 owned after | $0.00 | 2017-05-16 | |
| 2017-05-12 | CHURCHILL WINSTON J Director | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +13,274 13,274 owned after | $0.00 | 2017-05-16 | |
| 2017-01-18 | Nichols Donna Officer (CAO/Controller) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +7,300 7,300 owned after | $0.00 | 2017-01-20 | |
| 2017-01-18 | Myers Diane Officer (Senior VP-Reg/Quality) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $0.00 | 2017-01-20 | |
| 2017-01-18 | McCallum Stewart Officer (Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,000 24,000 owned after | $0.00 | 2017-01-20 | |
| 2017-01-18 | Mack Randall Officer (Senior VP, Development) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,400 12,400 owned after | $0.00 | 2017-01-20 | |
| 2017-01-18 | HENWOOD GERALDINE Director, Officer (Chief Executive Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $0.00 | 2017-01-20 | |
| 2017-01-18 | Graff Fred Officer (Chief Commercial Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +24,000 24,000 owned after | $0.00 | 2017-01-20 | |
| 2017-01-18 | Celano Michael Officer (Chief Financial Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,600 25,600 owned after | $0.00 | 2017-01-20 |