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TREX WIND-DOWN, INC. Forms 3, 4 and 5: Stock Options

TREX WIND-DOWN, INC. Forms 3, 4 and 5: Stock Options

Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 89 rows, 89 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.

  • 2023-04-15: Reporting owner Koconis John; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
  • 2023-04-15: Reporting owner Gaal Lubor; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
  • 2023-04-15: Reporting owner Mendelsohn Alan; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
  • 2023-04-15: Reporting owner Pirozzi Gianluca; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
Transaction dateReporting ownerFormSecurityTransactionSharesPricePrice that dayFiling
2023-04-15Koconis John
Officer (CEO & Chairman)
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+45,010
45,010 owned after
$1.66
exercise price
2023-04-18
2023-04-15Gaal Lubor
Director
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+4,100
4,100 owned after
$1.66
exercise price
2023-04-18
2023-04-15Mendelsohn Alan
Officer (EVP & CMO)
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+22,505
22,505 owned after
$1.66
exercise price
2023-04-18
2023-04-15Pirozzi Gianluca
Director
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+4,100
4,100 owned after
$1.66
exercise price
2023-04-18
2023-04-15Sitar Edward J
Director
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+5,327
5,327 owned after
$1.66
exercise price
2023-04-18
2023-04-15Cohen David E
Director
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+4,100
4,100 owned after
$1.66
exercise price
2023-04-18
2023-04-15Lucchese Joseph
Officer (EVP & CFO)
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+22,505
22,505 owned after
$1.66
exercise price
2023-04-18
2022-04-15Lucchese Joseph
Officer (CFO,EVP,Secretary&Treasurer)
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+300,000
300,000 owned after
$0.31
exercise price
2022-04-19
2022-04-15Mendelsohn Alan
Officer (Chief Medical Officer)
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+300,000
300,000 owned after
$0.31
exercise price
2022-04-19
2022-04-15Koconis John
Director, Officer (CEO & Chairman of the Board)
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+600,000
600,000 owned after
$0.31
exercise price
2022-04-19
2022-04-15Cohen David E
Director
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+100,000
100,000 owned after
$0.31
exercise price
2022-04-19
2022-04-15Sitar Edward J
Director
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+150,000
150,000 owned after
$0.31
exercise price
2022-04-19
2022-04-15Pirozzi Gianluca
Director
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+100,000
100,000 owned after
$0.31
exercise price
2022-04-19
2022-04-15Gaal Lubor
Director
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+100,000
100,000 owned after
$0.31
exercise price
2022-04-19
2021-09-27Lucchese Joseph
Officer (CFO, Executive VP & Treasurer)
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+361,163
361,163 owned after
$0.92
exercise price
2021-09-29
2021-09-14Rome Zachary
Director, Officer (COO, Executive VP & Secretary)
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+561,000
561,000 owned after
$0.89
exercise price
2021-09-16
2021-09-14Koconis John
Director, Officer (CEO & President)
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+890,000
890,000 owned after
$0.89
exercise price
2021-09-16
2021-07-01Sitar Edward J
Director
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+47,623
47,623 owned after
$1.18
exercise price
2021-07-06
2021-07-01Pirozzi Gianluca
Director
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+47,623
47,623 owned after
$1.18
exercise price
2021-07-06
2021-07-01Mendelsohn Alan
Officer (Chief Medical Officer)
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+347,991
347,991 owned after
$1.18
exercise price
2021-07-06
2021-07-01Gaal Lubor
Director
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+71,893
71,893 owned after
$1.18
exercise price
2021-07-06
2021-07-01Cohen David E
Director
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+71,893
71,893 owned after
$1.18
exercise price
2021-07-06
2020-06-08BROENNIMAN LINDA A
Director
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+24,270
24,270 owned after
$2.87
exercise price
2020-06-09
2020-06-08Stocum Michael
Director
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+24,270
24,270 owned after
$2.87
exercise price
2020-06-09
2020-06-08Lucchese Joseph
Officer (Executive VP & CFO)
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+97,083
97,083 owned after
$2.87
exercise price
2020-06-09
2020-06-08Sitar Edward J
Director
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+24,270
24,270 owned after
$2.87
exercise price
2020-06-09
2020-06-08Pirozzi Gianluca
Director
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+24,270
24,270 owned after
$2.87
exercise price
2020-06-09
2020-06-08Bragg Kimberly
Officer (Controller)
4Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+38,833
38,833 owned after
$2.87
exercise price
2020-06-09
2019-07-16Bosacki Steven
Officer (Chief Operating Officer)
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+91,000
91,000 owned after
$0.442019-07-18
2019-06-12Goto Joyce
Other (Chief Accounting Officer)
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+70,000
70,000 owned after
$0.842019-06-14
2019-06-12Chan Kin Foong
Officer (EVP of R&D)
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+77,100
77,100 owned after
$0.842019-06-14
2019-06-12Tierney David S
Officer (Pres and CEO)
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+360,000
360,000 owned after
$0.842019-06-14
2019-06-12Plott Ronald Todd
Director
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+32,700
32,700 owned after
$0.842019-06-14
2019-06-12Morlock Stephen
Director
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+32,700
32,700 owned after
$0.842019-06-14
2019-06-12Hubbard Michael
Director
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+32,700
32,700 owned after
$0.842019-06-14
2019-02-01Plott Ronald Todd
Director
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+133,000
133,000 owned after
$0.112019-02-21
2019-02-01Plott Ronald Todd
Director
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+200,000
333,000 owned after
$0.112019-02-21
2019-02-01Plott Ronald Todd
Director
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+34,000
367,000 owned after
$0.202019-02-21
2019-02-01Plott Ronald Todd
Director
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+51,000
418,000 owned after
$0.202019-02-21
2018-10-30Goto Joyce
Other (Chief Accounting Officer)
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+470,000
470,000 owned after
$0.172018-10-31
2018-10-30Goto Joyce
Other (Chief Accounting Officer)
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+77,000
77,000 owned after
$0.202018-10-31
2018-10-12
holding as of filing
Goto Joyce
Other (Chief Accounting Officer)
3Option to purchase common stock
Derivative · Direct
Holding$1.67
exercise price
2018-10-12
2018-10-12
holding as of filing
Goto Joyce
Other (Chief Accounting Officer)
3Option to purchase common stock
Derivative · Direct
Holding$0.65
exercise price
2018-10-12
2018-10-12
holding as of filing
Goto Joyce
Other (Chief Accounting Officer)
3Option to purchase common stock
Derivative · Direct
Holding$0.62
exercise price
2018-10-12
2018-10-12
holding as of filing
Goto Joyce
Other (Chief Accounting Officer)
3Option to purchase common stock
Derivative · Direct
Holding$0.42
exercise price
2018-10-12
2018-10-12
holding as of filing
Goto Joyce
Other (Chief Accounting Officer)
3Option to purchase common stock
Derivative · Direct
Holding$0.74
exercise price
2018-10-12
2018-10-12
holding as of filing
Goto Joyce
Other (Chief Accounting Officer)
3Option to purchase common stock
Derivative · Direct
Holding$0.10
exercise price
2018-10-12
2018-10-12
holding as of filing
Goto Joyce
Other (Chief Accounting Officer)
3Option to purchase common stock
Derivative · Direct
Holding$0.20
exercise price
2018-10-12
2018-09-11Tierney David S
Director, Officer (CEO)
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+7,400,000
7,400,000 owned after
$0.222018-09-13
2018-09-10Krammer Anja B
Director, Officer (President)
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+1,042,000
1,042,000 owned after
$0.20
exercise price
2018-09-11
2018-01-08Krammer Anja B
Director, Officer (President)
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+1,960,000
1,960,000 owned after
$0.11
exercise price
2018-01-09
2017-12-20Morlock Stephen
Director
4Director Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+450,000
450,000 owned after
$0.10
exercise price
2017-12-22
2017-12-20Morlock Stephen
Director
4Director Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+205,000
205,000 owned after
$0.20
exercise price
2017-12-22
2017-12-20Krammer Anja B
Director, Officer (President)
4Employee Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+940,000
940,000 owned after
$0.10
exercise price
2017-12-22
2017-12-20Kitchener Gregory David
Officer (Chief Financial Officer)
4Employee Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+900,000
900,000 owned after
$0.10
exercise price
2017-12-22
2017-12-20Kitchener Gregory David
Officer (Chief Financial Officer)
4Employee Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+414,000
414,000 owned after
$0.20
exercise price
2017-12-22
2017-12-20Hubbard Michael
Director
4Director Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+450,000
450,000 owned after
$0.10
exercise price
2017-12-22
2017-12-20Hubbard Michael
Director
4Director Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+205,000
205,000 owned after
$0.20
exercise price
2017-12-22
2017-12-20Chan Kin Foong
Officer (EVP of R&D)
4Employee Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+900,000
900,000 owned after
$0.10
exercise price
2017-12-22
2017-12-20Chan Kin Foong
Officer (EVP of R&D)
4Employee Stock Option (right to buy)
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+414,000
414,000 owned after
$0.20
exercise price
2017-12-22
2017-04-18Chan Kin Foong
Officer (EVP of R&D)
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+435,000
435,000 owned after
$0.742017-04-19
2017-04-18Kitchener Gregory David
Officer (Chief Financial Officer)
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+290,000
290,000 owned after
$0.742017-04-19
2017-04-18Krammer Anja B
Officer (President)
4Option of purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+1,060,000
1,060,000 owned after
$0.742017-04-19
2017-04-18VONTZ CHARLES GREGORY
Director
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+200,000
200,000 owned after
$0.742017-04-19
2017-04-18Morlock Stephen
Director
4Option to purchase common stock
Derivative · Indirect · By Stephen W. Morlock and Karen R. Morlock TTE UDT dated 04/21/03
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+200,000
200,000 owned after
$0.742017-04-19
2017-04-18Hubbard Michael
Director
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+200,000
200,000 owned after
$0.742017-04-19
2017-01-18VONTZ CHARLES GREGORY
Director
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+65,000
65,000 owned after
$0.452017-01-20
2017-01-18VONTZ CHARLES GREGORY
Director
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+60,000
60,000 owned after
$0.452017-01-20
2016-12-08Chan Kin Foong
Officer (EVP of R&D)
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+150,000
150,000 owned after
$0.422016-12-12
2016-12-08Kitchener Gregory David
Officer (Chief Financial Officer)
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+175,000
175,000 owned after
$0.422016-12-12
2016-12-08Krammer Anja B
Officer (President)
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+400,000
400,000 owned after
$0.422016-12-12
2016-12-08Morlock Stephen
Director
4Option to purchase common stock
Derivative · Indirect · By Stephen W. Morlock and Karen R. Morlock TTE UDT dated 04/21/03
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+150,000
150,000 owned after
$0.422016-12-12
2016-12-08Hubbard Michael
Director
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+150,000
150,000 owned after
$0.422016-12-12
2016-07-21Chan Kin Foong
Officer (EVP of R&D)
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+170,000
225,000 owned after
$0.622016-07-25
2016-07-21Kitchener Gregory David
Officer (Chief Financial officer)
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+110,000
400,000 owned after
$0.622016-07-25
2016-07-21Krammer Anja B
Officer (President)
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+360,000
465,000 owned after
$0.622016-07-25
2016-07-21Barbarosh Craig A.
Director
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+65,000
175,000 owned after
$0.622016-07-25
2016-07-21Morlock Stephen
Director
4Option to purchase common stock
Derivative · Indirect · By Stephen W. Morlock and Karen R. Morlock TTE UDT dated 04/21/03
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+65,000
175,000 owned after
$0.622016-07-25
2016-07-21Hubbard Michael
Director
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+65,000
195,000 owned after
$0.622016-07-25
2016-07-01Kitchener Gregory David
Officer (Chief Financial officer)
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+55,000
290,000 owned after
$0.652016-07-06
2016-07-01Chan Kin Foong
Officer (EVP of R&D)
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+55,000
55,000 owned after
$0.652016-07-06
2016-07-01Krammer Anja B
Director, Officer (President)
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+105,000
105,000 owned after
$0.652016-07-06
2016-06-13Morlock Stephen
Director
4Option to purchase common stock
Derivative · Indirect · By Stephen W. Morlock and Karen R. Morlock TTE UDT dated 04/21/03
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+60,000
110,000 owned after
$0.762016-06-14
2016-06-13Barbarosh Craig A.
Director
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+60,000
110,000 owned after
$0.762016-06-14
2016-06-13Hubbard Michael
Director
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+80,000
130,000 owned after
$0.762016-06-14
2016-01-26Barbarosh Craig A.
Director
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+50,000
50,000 owned after
$1.552016-01-27
2015-08-10Kitchener Gregory David
Officer (CFO)
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+235,000
235,000 owned after
$1.672015-08-12
2015-04-30Morlock Stephen
Director
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+50,000
50,000 owned after
$3.002015-05-01
2015-04-30Hubbard Michael
Director
4Option to purchase common stock
Derivative · Direct
A Grant, award or other acquisition pursuant to Rule 16b-3(d)+50,000
50,000 owned after
$3.002015-05-01