ULURU INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 68 rows, 68 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-03-31: Reporting owner Wallberg Terrance K; Form 4; Security Employee Stock Option (Right to Buy); Transaction Holding.
- 2016-03-31: Reporting owner Wallberg Terrance K; Form 4; Security Employee Stock Option (Right to Buy); Transaction Holding.
- 2016-03-31: Reporting owner Wallberg Terrance K; Form 4; Security Employee Stock Option (Right to Buy); Transaction Holding.
- 2016-03-31: Reporting owner Wallberg Terrance K; Form 4; Security Employee Stock Option (Right to Buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-03-31 holding as of filing | Wallberg Terrance K Director, Officer (Chief Financial Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | 40,000 owned after | $1.15 exercise price | 2016-03-31 | |
| 2016-03-31 holding as of filing | Wallberg Terrance K Director, Officer (Chief Financial Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | 90,000 owned after | $0.33 exercise price | 2016-03-31 | |
| 2016-03-31 holding as of filing | Wallberg Terrance K Director, Officer (Chief Financial Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | 5,334 owned after | $34.65 exercise price | 2016-03-31 | |
| 2016-03-31 holding as of filing | Wallberg Terrance K Director, Officer (Chief Financial Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | 13,334 owned after | $14.25 exercise price | 2016-03-31 | |
| 2015-07-29 | Sacks Michael Ivan | 4 | Call option (obligation to sell) Derivative · Direct | J Other acquisition or disposition (describe transaction) | −2,000,000 0 owned after | $0.60 exercise price | 2017-03-03 | |
| 2015-07-29 | Sacks Michael Ivan | 4 | Put Option (right to sell) Derivative · Direct | J Other acquisition or disposition (describe transaction) | −2,000,000 0 owned after | $0.25 exercise price | 2017-03-03 | |
| 2015-07-29 | Centric Capital Ventures LLC | Sacks Bradley J. Other (See explanation above) | | 4 | Call option (right to buy) Derivative · Indirect · By Centric Capital Ventures LLC | J Other acquisition or disposition (describe transaction) | −2,000,000 0 owned after | $0.60 exercise price | 2017-03-03 | |
| 2015-07-29 | Centric Capital Ventures LLC | Sacks Bradley J. Other (See explanation above) | | 4 | Put Option (obligation to buy) Derivative · Indirect · By Centric Capital Ventures LLC | J Other acquisition or disposition (describe transaction) | −2,000,000 0 owned after | $0.25 exercise price | 2017-03-03 | |
| 2015-07-29 | Sacks Bradley J. Director | 4 | Call option (right to buy) Derivative · Indirect · By Centric Capital Ventures LLC | P Open market or private purchase of non-derivative or derivative security | +2,000,000 2,000,000 owned after | $0.60 exercise price | 2015-07-29 | |
| 2015-07-29 | Sacks Bradley J. Director | 4 | Put Option (obligation to buy) Derivative · Indirect · By Centric Capital Ventures LLC | S Open market or private sale of non-derivative or derivative security | −2,000,000 2,000,000 owned after | $0.25 exercise price | 2015-07-29 | |
| 2014-09-29 holding as of filing | Kuehne Klaus Director | 4 | Stock Option (Right to Buy) Derivative · Direct | Holding | 100,000 owned after | $0.33 exercise price | 2014-09-29 | |
| 2014-09-29 holding as of filing | Kerschbaumer Helmut Director | 4 | Stock Option (Right to Buy) Derivative · Direct | Holding | 100,000 owned after | $0.33 exercise price | 2014-09-29 | |
| 2014-09-29 holding as of filing | GRAY KERRY P Director, Officer (Chief Executive Officer), 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | Holding | 250,000 owned after | $0.33 exercise price | 2014-09-29 | |
| 2014-09-29 holding as of filing | Jeffrey B Davis Director | 4 | Stock Option (Right to Buy) Derivative · Direct | Holding | 75,000 owned after | $0.33 exercise price | 2014-09-29 | |
| 2014-09-29 holding as of filing | Jeffrey B Davis Director | 4 | Stock Option (Right to Buy) Derivative · Direct | Holding | 33,336 owned after | $2.55 exercise price | 2014-09-29 | |
| 2014-09-29 holding as of filing | Jeffrey B Davis Director | 4 | Stock Option (Right to Buy) Derivative · Direct | Holding | 1,667 owned after | $13.80 exercise price | 2014-09-29 | |
| 2014-09-29 holding as of filing | Jeffrey B Davis Director | 4 | Stock Option (Right to Buy) Derivative · Direct | Holding | 3,334 owned after | $20.70 exercise price | 2014-09-29 | |
| 2014-09-29 holding as of filing | Jeffrey B Davis Director | 4 | Stock Option (Right to Buy) Derivative · Direct | Holding | 1,667 owned after | $74.24 exercise price | 2014-09-29 | |
| 2014-09-29 holding as of filing | Jeffrey B Davis Director | 4 | Stock Option (Right to Buy) Derivative · Direct | Holding | 10,000 owned after | $24.75 exercise price | 2014-09-29 | |
| 2014-09-29 holding as of filing | Wallberg Terrance K Officer (Chief Financial Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | 90,000 owned after | $0.33 exercise price | 2014-09-29 | |
| 2014-09-29 holding as of filing | Wallberg Terrance K Officer (Chief Financial Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | 13,334 owned after | $14.25 exercise price | 2014-09-29 | |
| 2014-09-29 holding as of filing | Wallberg Terrance K Officer (Chief Financial Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | 5,334 owned after | $34.65 exercise price | 2014-09-29 | |
| 2014-09-25 | Kuehne Klaus Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $1.15 | 2014-09-29 | |
| 2014-09-25 | Kerschbaumer Helmut Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $1.15 | 2014-09-29 | |
| 2014-09-25 | GRAY KERRY P Director, Officer (Chief Executive Officer), 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $1.15 | 2014-09-29 | |
| 2014-09-25 | Jeffrey B Davis Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $1.15 | 2014-09-29 | |
| 2014-09-25 | Wallberg Terrance K 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) | +40,000 40,000 owned after | $1.15 | 2014-09-29 | |
| 2013-03-22 holding as of filing | Jeffrey B Davis Director | 4 | Stock Option (Right to Buy) Derivative · Direct | Holding | 33,334 owned after | $2.55 exercise price | 2013-03-22 | |
| 2013-03-22 holding as of filing | Jeffrey B Davis Director | 4 | Stock Option (Right to Buy) Derivative · Direct | Holding | 1,667 owned after | $13.80 exercise price | 2013-03-22 | |
| 2013-03-22 holding as of filing | Jeffrey B Davis Director | 4 | Stock Option (Right to Buy) Derivative · Direct | Holding | 3,334 owned after | $20.70 exercise price | 2013-03-22 | |
| 2013-03-22 holding as of filing | Jeffrey B Davis Director | 4 | Stock Option (Right to Buy) Derivative · Direct | Holding | 1,667 owned after | $74.24 exercise price | 2013-03-22 | |
| 2013-03-22 holding as of filing | Jeffrey B Davis Director | 4 | Stock Option (Right to Buy) Derivative · Direct | Holding | 10,000 owned after | $24.75 exercise price | 2013-03-22 | |
| 2013-03-22 holding as of filing | Stone Jeffrey A Director | 4 | Stock Option (Right to Buy) Derivative · Direct | Holding | 30,000 owned after | $2.55 exercise price | 2013-03-22 | |
| 2013-03-22 holding as of filing | Stone Jeffrey A Director | 4 | Stock Option (Right to Buy) Derivative · Direct | Holding | 3,334 owned after | $2.55 exercise price | 2013-03-22 | |
| 2013-03-22 holding as of filing | Wallberg Terrance K Officer (Chief Financial Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | 13,334 owned after | $14.25 exercise price | 2013-03-22 | |
| 2013-03-22 holding as of filing | Wallberg Terrance K Officer (Chief Financial Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | 5,334 owned after | $34.65 exercise price | 2013-03-22 | |
| 2013-03-20 | Jeffrey B Davis Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $0.33 exercise price | 2013-03-22 | |
| 2013-03-20 | Stone Jeffrey A Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $0.33 exercise price | 2013-03-22 | |
| 2013-03-20 | Kuehne Klaus Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.33 exercise price | 2013-03-22 | |
| 2013-03-20 | Kerschbaumer Helmut Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $0.33 exercise price | 2013-03-22 | |
| 2013-03-20 | Wallberg Terrance K 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) | +90,000 90,000 owned after | $0.33 exercise price | 2013-03-22 | |
| 2013-03-20 | GRAY KERRY P Director, Officer (Chief Executive Officer), 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $0.33 exercise price | 2013-03-20 | |
| 2013-03-15 holding as of filing | Wallberg Terrance K Officer (Chief Financial Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | 13,334 owned after | $14.25 exercise price | 2013-03-15 | |
| 2013-03-15 holding as of filing | Wallberg Terrance K Officer (Chief Financial Officer) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | Holding | 5,334 owned after | $34.65 exercise price | 2013-03-15 | |
| 2010-06-04 | Van den Hooff Renaat Officer (President & CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 950,000 owned after | $0.14 | 2010-06-07 | |
| 2010-04-26 | Stone Jeffrey A Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +450,000 500,000 owned after | $0.17 | 2010-04-28 | |
| 2010-04-26 | Jeffrey B Davis Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500,000 750,000 owned after | $0.17 | 2010-04-28 | |
| 2010-04-26 | CROUSE WILLIAM W Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +500,000 850,000 owned after | $0.17 | 2010-04-28 | |
| 2010-04-01 | Stone Jeffrey A Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $0.17 | 2010-04-05 | |
| 2008-06-19 | AHRENS RONALD A Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $0.92 | 2008-06-24 | |
| 2008-06-19 | CROUSE WILLIAM W Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 350,000 owned after | $0.92 | 2008-06-23 | |
| 2008-06-19 | Jeffrey B Davis Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 250,000 owned after | $0.92 | 2008-06-23 | |
| 2008-05-15 | VERNON W ANTHONY Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 100,000 owned after | $1.38 | 2008-05-22 | |
| 2008-05-15 | Jeffrey B Davis Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 225,000 owned after | $1.38 | 2008-05-22 | |
| 2008-05-15 | CROUSE WILLIAM W Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 305,000 owned after | $1.38 | 2008-05-22 | |
| 2008-02-12 | GRAY KERRY P Director, Officer (Chief Executive Officer), 10% Owner | 4/A | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +800,000 800,000 owned after | $2.54 | 2008-02-28 | |
| 2008-02-12 | GRAY KERRY P Director, Officer (Chief Executive Officer), 10% Owner | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +800,000 800,000 owned after | $2.31 | 2008-02-15 | |
| 2008-02-12 | Wallberg Terrance K 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) | +80,000 280,000 owned after | $2.31 | 2008-02-15 | |
| 2008-02-12 | Van den Hooff Renaat Officer (Exec Vice President-Operations) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 650,000 owned after | $2.31 | 2008-02-15 | |
| 2007-09-25 | Van den Hooff Renaat Officer (Exec Vice President-Operations) | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +600,000 600,000 owned after | $4.50 | 2007-09-25 | |
| 2007-08-13 | VERNON W ANTHONY Director | 4 | Stock option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $4.29 | 2007-08-14 | |
| 2007-05-08 | Jeffrey B Davis Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 175,000 owned after | $4.95 | 2007-05-10 | |
| 2007-05-08 | Reese David Emery Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 325,000 owned after | $4.95 | 2007-05-10 | |
| 2007-05-08 | CROUSE WILLIAM W Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 230,000 owned after | $4.95 | 2007-05-10 | |
| 2006-12-13 | CROUSE WILLIAM W Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $1.65 | 2007-02-15 | |
| 2006-12-13 | Jeffrey B Davis Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $1.65 | 2007-02-15 | |
| 2006-12-13 | Reese David Emery Director | 4 | Employee Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 300,000 owned after | $1.65 | 2007-02-15 | |
| 2006-12-06 | Wallberg Terrance K 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) | +200,000 200,000 owned after | $0.95 | 2006-12-07 |