U.S. STEM CELL, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 26 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-09-12: Reporting owner Comella Kristin C; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-08-29: Reporting owner SPENCER RICHARD III; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-08-29: Reporting owner Leonhardt Howard J; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-08-29: Reporting owner MURPHY WILLIAM P JR; 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 |
|---|---|---|---|---|---|---|---|---|
| 2011-09-12 | Comella Kristin C Officer (Chief Science Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 362,286 owned after | $0.10 exercise price | 2011-09-13 | |
| 2011-08-29 | SPENCER RICHARD III Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 289,135 owned after | $0.07 exercise price | 2011-09-02 | |
| 2011-08-29 | Leonhardt Howard J Director, Officer (Chief Technology Officer), 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 126,379 owned after | $0.07 | 2011-09-02 | |
| 2011-08-29 | MURPHY WILLIAM P JR Director, 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 433,534 owned after | $0.07 exercise price | 2011-09-02 | |
| 2011-08-29 | CARSON BRUCE C Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 350,912 owned after | $0.07 exercise price | 2011-09-02 | |
| 2011-08-29 | Hart Charles A Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +460,000 570,000 owned after | $0.07 exercise price | 2011-09-02 | |
| 2011-08-29 | Borman Mark P Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 210,000 owned after | $0.07 exercise price | 2011-09-02 | |
| 2011-08-29 | AHN SAMUEL S Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 219,134 owned after | $0.07 exercise price | 2011-09-02 | |
| 2011-08-12 | SULAWSKE-GUCK CATHERINE Officer (Chief Operating Officer) | 4/A | Stock Option (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +250,000 360,000 owned after | $0.10 exercise price | 2011-08-17 | |
| 2011-08-12 | MURPHY WILLIAM P JR Director, 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 133,534 owned after | $0.21 exercise price | 2011-08-17 | |
| 2011-08-12 | TOMAS MIKE Director, Officer (CEO & President) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500,000 1,000,000 owned after | $0.10 exercise price | 2011-08-17 | |
| 2011-08-12 | SULAWSKE-GUCK CATHERINE Officer (Chief Operating Officer) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 360,000 owned after | $0.21 exercise price | 2011-08-17 | |
| 2011-08-12 | AHN SAMUEL S Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 119,134 owned after | $0.21 exercise price | 2011-08-17 | |
| 2011-08-12 | Hart Charles A Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 110,000 owned after | $0.21 exercise price | 2011-08-17 | |
| 2011-08-12 | SPENCER RICHARD III Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 189,135 owned after | $0.21 exercise price | 2011-08-17 | |
| 2011-08-12 | CARSON BRUCE C Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 250,912 owned after | $0.21 exercise price | 2011-08-17 | |
| 2011-08-12 | Borman Mark P Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 60,000 owned after | $0.21 exercise price | 2011-08-17 | |
| 2011-04-01 holding as of filing | Leonhardt Howard J Director, Officer (Chief Technology Officer), 10% Owner | 5 | Stock Option (right to buy) Derivative · Direct | Holding | 26,379 owned after | $5.67 exercise price | 2011-04-01 | |
| 2011-04-01 holding as of filing | Leonhardt Howard J Director, Officer (Chief Technology Officer), 10% Owner | 5 | Stock Option (right to buy) Derivative · Direct | Holding | 26,379 owned after | $5.67 exercise price | 2011-04-01 | |
| 2011-04-01 holding as of filing | Hart Charles A Director | 5 | Stock Option (right to buy) Derivative · Direct · (m) | Holding | 70,000 owned after | $0.68 exercise price | 2011-04-01 | |
| 2011-04-01 holding as of filing | Hart Charles A Director | 5 | Stock Option (right to buy) Derivative · Direct · (m) | Holding | 70,000 owned after | $0.92 exercise price | 2011-04-01 | |
| 2011-04-01 holding as of filing | MURPHY WILLIAM P JR Director, 10% Owner | 5 | Stock Option (right to buy) Derivative · Direct · (m) | Holding | 93,534 owned after | $5.67 exercise price | 2011-04-01 | |
| 2011-04-01 holding as of filing | MURPHY WILLIAM P JR Director, 10% Owner | 5 | Stock Option (right to buy) Derivative · Direct · (m) | Holding | 93,534 owned after | $5.67 exercise price | 2011-04-01 | |
| 2011-04-01 holding as of filing | MURPHY WILLIAM P JR Director, 10% Owner | 5 | Stock Option (righ to buy) Derivative · Direct · (m) | Holding | 93,534 owned after | $7.69 exercise price | 2011-04-01 | |
| 2011-04-01 holding as of filing | MURPHY WILLIAM P JR Director, 10% Owner | 5 | Stock Option (right to buy) Derivative · Direct · (m) | Holding | 93,534 owned after | $5.25 exercise price | 2011-04-01 | |
| 2011-04-01 holding as of filing | MURPHY WILLIAM P JR Director, 10% Owner | 5 | Stock Option (right to buy) Derivative · Direct · (m) | Holding | 93,534 owned after | $0.68 exercise price | 2011-04-01 |