VERENIUM CORP Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 18 rows, 18 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-10-31: Reporting owner RUCH JOSHUA; Form 4; Security Warrant (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2013-10-31: Reporting owner RUCH JOSHUA; Form 4; Security Warrant (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2013-10-24: Reporting owner Athyrium Opportunities Fund (B) LP | Athyrium Opportunities Fund (A) LP; Form 3; Security Common Stock Warrants (right to buy); Transaction Holding.
- 2013-10-22: Reporting owner Athyrium Opportunities Fund (B) LP | Athyrium Opportunities Fund (A) LP; Form 4; Security Common Stock Warrants (right to buy); Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-10-31 | RUCH JOSHUA Director | 4 | Warrant (right to buy) Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −5,753 0 owned after | $22.44 exercise price | 2013-11-04 | |
| 2013-10-31 | RUCH JOSHUA Director | 4 | Warrant (right to buy) Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −35 0 owned after | $823.92 exercise price | 2013-11-04 | |
| 2013-10-24 holding as of filing | Athyrium Opportunities Fund (B) LP | Athyrium Opportunities Fund (A) LP 10% Owner | 10% Owner | 3 | Common Stock Warrants (right to buy) Derivative · Direct | Holding | $2.49 exercise price | 2013-10-24 | ||
| 2013-10-22 | Athyrium Opportunities Fund (B) LP | Athyrium Opportunities Fund (A) LP 10% Owner | 10% Owner | 4 | Common Stock Warrants (right to buy) Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −2,935,568 0 owned after | $2.49 exercise price | 2013-10-24 | |
| 2013-08-27 | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 4 | Warrants Derivative · Indirect · By Limited Partnerships | J Other acquisition or disposition (describe transaction) | −562,510 0 owned after | $2.48 exercise price | 2013-08-29 | |
| 2011-07-05 holding as of filing | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 3 | Warrants Derivative · Indirect · By Limited Partnerships | Holding | $3.98 exercise price | 2011-07-05 | ||
| 2009-10-15 holding as of filing | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 3 | Warrants Derivative · Indirect · By Limited Partnerships | Holding | $4.44 exercise price | 2009-10-15 | ||
| 2009-05-11 holding as of filing | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 3 | Warrants Derivative · Indirect · By Limited Partnerships | Holding | $4.44 exercise price | 2009-05-11 | ||
| 2009-03-04 holding as of filing | MARXE AUSTIN W & GREENHOUSE DAVID M 10% Owner | 3 | Warrants Derivative · Indirect · By Limited Partnerships | Holding | $4.44 exercise price | 2009-03-04 | ||
| 2007-06-20 | Riva Carlos A Director, Officer (President & CEO) | 4/A | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,335 1,335 owned after | $1.87 exercise price | 2007-07-03 | |
| 2007-06-20 | Malloy John R Jr Officer (Executive VP, Biofuels) | 4 | Warrant Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +721 721 owned after | $1.87 exercise price | 2007-06-22 | |
| 2007-06-20 | LESCHLY MARK Director | 4 | Warrant Derivative · Indirect · See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +69,038 69,038 owned after | $1.87 exercise price | 2007-06-22 | |
| 2007-06-20 | LESCHLY MARK Director | 4 | Warrant Derivative · Indirect · See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +419 419 owned after | $68.66 exercise price | 2007-06-22 | |
| 2007-06-20 | Zak Michael J Director | 4 | Warrant Derivative · Indirect · See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +69,032 69,032 owned after | $1.87 exercise price | 2007-06-22 | |
| 2007-06-20 | Zak Michael J Director | 4 | Warrant Derivative · Indirect · See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +419 419 owned after | $68.66 exercise price | 2007-06-22 | |
| 2007-06-20 | Riva Carlos A Director, Officer (President & CEO) | 4 | Warrants Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −1,335 1,335 owned after | $1.87 exercise price | 2007-06-22 | |
| 2007-06-20 | RUCH JOSHUA Director | 4 | Warrant Derivative · Indirect · See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +69,038 69,038 owned after | $1.87 exercise price | 2007-06-22 | |
| 2007-06-20 | RUCH JOSHUA Director | 4 | Warrant Derivative · Indirect · See footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +419 419 owned after | $68.66 exercise price | 2007-06-22 |