WORLD HEART CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 61 rows, 61 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-09-01: Reporting owner BROWN MORGAN R; Form 4; Security Stock Option (Rt to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-06-30: Reporting owner Jassawalla Jal S; Form 4; Security Stock option (Rt to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-06-30: Reporting owner BROWN MORGAN R; Form 4; Security Stock option (Rt to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-06-30: Reporting owner Martin John Alexander; Form 4/A; Security Stock option (Rt 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 |
|---|---|---|---|---|---|---|---|---|
| 2011-09-01 | BROWN MORGAN R Officer (Executive VP) | 4 | Stock Option (Rt to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,800 8,800 owned after | $0.44 | 2011-09-06 | |
| 2011-06-30 | Jassawalla Jal S Officer (Exec. VP and CTO) | 4 | Stock option (Rt to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $0.99 | 2011-06-30 | |
| 2011-06-30 | BROWN MORGAN R Officer (Exec. VP and CFO) | 4 | Stock option (Rt to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +51,000 51,000 owned after | $0.99 | 2011-06-30 | |
| 2011-06-30 | Martin John Alexander Officer (President and CEO) | 4/A | Stock option (Rt to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +165,000 165,000 owned after | $0.10 | 2011-06-30 | |
| 2011-06-29 | Martin John Alexander Officer (President and CEO) | 4 | Stock option (Rt to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +165,000 165,000 owned after | $0.10 | 2011-06-30 | |
| 2011-06-23 | Garriock William C Director | 4/A | Stock option (Rt to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $1.00 exercise price | 2011-07-01 | |
| 2011-06-23 | Jones Eugene B Director | 4/A | Stock option (Rt to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $1.00 exercise price | 2011-07-01 | |
| 2011-06-23 | Estes Michael Sumner Director | 4/A | Stock option (Rt to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,000 16,000 owned after | $1.00 exercise price | 2011-07-01 | |
| 2011-06-23 | MARXE AUSTIN W Director | 4/A | Stock option (Rt to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $1.00 exercise price | 2011-07-01 | |
| 2011-06-23 | Delagardelle Jeani Director | 4/A | Stock option (Rt to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $1.00 exercise price | 2011-07-01 | |
| 2011-06-23 | Hove Anders D Director, 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $1.00 exercise price | 2011-06-27 | |
| 2011-06-23 | MARXE AUSTIN W Director | 4 | Stock option (Rt to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $1.00 exercise price | 2011-06-24 | |
| 2011-06-23 | Delagardelle Jeani Director | 4 | Stock option (Rt to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $1.00 exercise price | 2011-06-24 | |
| 2011-06-23 | Estes Michael Sumner Director | 4/A | Stock option (Rt to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,000 16,000 owned after | $1.00 exercise price | 2011-06-23 | |
| 2011-06-23 | Garriock William C Director | 4 | Stock option (Rt to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $1.00 exercise price | 2011-06-23 | |
| 2011-06-23 | Estes Michael Sumner Director | 4 | Stock option (Rt to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $1.00 exercise price | 2011-06-23 | |
| 2011-06-23 | Jones Eugene B Director | 4 | Stock option (Rt to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $1.00 exercise price | 2011-06-23 | |
| 2011-02-10 | Woodard John Officer (Senior VP of Scientifc Affairs) | 4 | Stock option (Rt to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $1.65 | 2011-02-15 | |
| 2011-02-10 | Jassawalla Jal S Officer (Exec. VP and CTO) | 4 | Stock option (Rt to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $1.65 | 2011-02-15 | |
| 2011-02-10 | BROWN MORGAN R Officer (Exec. VP and CFO) | 4 | Stock option (Rt to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $1.65 | 2011-02-15 | |
| 2011-02-10 | Martin John Alexander Officer (President and CEO) | 4 | Stock option (Rt to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +134,400 134,400 owned after | $1.65 | 2011-02-15 | |
| 2011-02-10 | Jassawalla Jal S Officer (Exec. VP and CTO) | 4 | Stock option (Rt to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +59,400 59,400 owned after | $1.65 exercise price | 2011-02-14 | |
| 2010-09-09 holding as of filing | BROWN MORGAN R Officer (Exec. VP and CFO) | 4/A | Stock option (Rt to buy) Derivative · Direct | Holding | 11,000 owned after | $2.12 exercise price | 2010-09-09 | |
| 2010-09-03 holding as of filing | BROWN MORGAN R Officer (Exec. VP and CFO) | 4 | Stock option (Rt to buy) Derivative · Direct | Holding | 110,000 owned after | $2.12 exercise price | 2010-09-03 | |
| 2010-06-14 | Woodard John Officer (Senior VP of Scientifc Affairs) | 4 | Stock option (Rt to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +150,000 150,000 owned after | $2.28 exercise price | 2010-06-16 | |
| 2010-06-10 | Garriock William C Director | 4 | Stock option (Rt to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $2.27 exercise price | 2010-06-10 | |
| 2010-06-10 | Estes Michael Sumner Director | 4 | Stock option (Rt to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,000 16,000 owned after | $2.27 exercise price | 2010-06-10 | |
| 2010-06-10 | MARXE AUSTIN W Director, 10% Owner | 4 | Stock option (Rt to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $2.27 exercise price | 2010-06-10 | |
| 2010-06-10 | Delagardelle Jeani Director, 10% Owner | 4 | Stock option (Rt to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $2.27 exercise price | 2010-06-10 | |
| 2010-06-10 | Jones Eugene B Director | 4 | Stock option (Rt to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $2.27 exercise price | 2010-06-10 | |
| 2010-06-08 | Hove Anders D Director, 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $2.27 exercise price | 2010-06-11 | |
| 2010-02-04 | Martin John Alexander Director, Officer (President and CEO) | 4 | Stock Option (Rt to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +36,828 36,828 owned after | $6.10 exercise price | 2010-02-08 | |
| 2010-02-04 | Jassawalla Jal S Officer (Exec. VP and CTO) | 4 | Stock Option (Rt to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +36,828 36,828 owned after | $6.10 exercise price | 2010-02-08 | |
| 2010-02-04 | Khanwilkar Pratap Officer (VP Rotary Systems & Bus. Dev.) | 4 | Stock Option (Rt to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $6.10 exercise price | 2010-02-08 | |
| 2010-02-04 | BROWN MORGAN R Officer (Exec. VP and CFO) | 4 | Stock Option (Rt to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +22,000 22,000 owned after | $6.10 exercise price | 2010-02-08 | |
| 2010-02-04 | Jones Eugene B Director | 4 | Stock Option (Rt to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +2,667 2,667 owned after | $6.10 exercise price | 2010-02-08 | |
| 2009-08-10 | BROWN MORGAN R Officer (Exec. VP and CFO) | 4 | Stock Option (Rt to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +110,000 110,000 owned after | $4.95 exercise price | 2009-08-11 | |
| 2009-05-07 | Hove Anders D Director, 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $2.50 exercise price | 2009-05-11 | |
| 2009-05-07 | MINOGUE MICHAEL R Director, 10% Owner | 4 | Stock Option (Rt to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $2.50 exercise price | 2009-05-11 | |
| 2009-05-07 | Estes Michael Sumner Director | 4 | Stock Option (Rt to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +16,000 16,000 owned after | $2.50 exercise price | 2009-05-11 | |
| 2009-05-07 | Goertz Gary W Director | 4 | Stock Option (Rt to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $2.50 exercise price | 2009-05-11 | |
| 2009-05-07 | Garriock William C Director | 4 | Stock Option (Rt to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $2.50 exercise price | 2009-05-11 | |
| 2009-05-07 | MARXE AUSTIN W & GREENHOUSE DAVID M Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $2.50 exercise price | 2009-05-11 | |
| 2009-05-07 | Delagardelle Jeani Director, 10% Owner | 4 | Stock Option (Rt to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,000 8,000 owned after | $2.50 exercise price | 2009-05-11 | |
| 2009-04-09 | Jassawalla Jal S Officer (Exec. VP and CTO) | 4 | Stock Option (Rt to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +265,079 265,079 owned after | $2.50 exercise price | 2009-04-13 | |
| 2009-03-25 | Jansen Piet Officer (Chief Medical Officer) | 4 | Stock Option (Rt to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $2.75 exercise price | 2009-03-27 | |
| 2009-03-25 | Khanwilkar Pratap Officer (Vice President) | 4 | Stock Option (Rt to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +90,000 90,000 owned after | $2.75 exercise price | 2009-03-27 | |
| 2009-03-25 | Miller Phillip Officer (Vice President) | 4 | Stock Option (Rt to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +120,000 120,000 owned after | $2.75 exercise price | 2009-03-27 | |
| 2009-02-05 | Martin John Alexander Director, Officer (CEO & President) | 4 | Stock Option (Rt to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +397,618 397,618 owned after | $2.35 exercise price | 2009-02-09 | |
| 2007-08-31 | Pellone David Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $2.33 exercise price | 2007-09-04 | |
| 2007-07-03 | Goertz Gary W Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $1.50 exercise price | 2007-07-05 | |
| 2007-04-04 | Garriock William C Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,000 80,000 owned after | $0.34 exercise price | 2007-04-06 | |
| 2007-04-04 | MAJTELES ROBERT J Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,000 80,000 owned after | $0.34 exercise price | 2007-04-06 | |
| 2007-04-04 | Ross C Ian Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +80,000 80,000 owned after | $0.34 exercise price | 2007-04-06 | |
| 2007-04-04 | Estes Michael Sumner 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 | $0.34 exercise price | 2007-04-06 | |
| 2007-03-08 | Vajda John J Officer (VP, Manufacturing) | 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 | $0.41 exercise price | 2007-03-12 | |
| 2007-03-08 | Miller Phillip Officer (VP Research & Development) | 4 | 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 | $0.41 exercise price | 2007-03-12 | |
| 2007-03-08 | Jansen Piet Officer (Managing Director & CMO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +175,000 175,000 owned after | $0.41 exercise price | 2007-03-12 | |
| 2007-03-08 | Khanwilkar Pratap Officer (VP Rotary Systems and Bus Dev) | 4 | 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 | $0.41 exercise price | 2007-03-12 | |
| 2007-03-08 | Jassawalla Jal S Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,500,000 1,500,000 owned after | $0.41 exercise price | 2007-03-12 | |
| 2006-04-26 | Jassawalla Jal S Director, Officer (President and CEO) | 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 | $1.13 exercise price | 2006-05-01 |