Zosano Pharma Corp Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 15 rows in 2021. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-12-07: Reporting owner Yang Elaine; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2021-10-15: Reporting owner KELLERMAN DONALD J; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2021-10-15: Reporting owner Matthews Christine; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2021-10-15: Reporting owner Lo Steven; 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 |
|---|---|---|---|---|---|---|---|---|
| 2021-12-07 | Yang Elaine Director | 4 | 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 | $0.56 exercise price | 2021-12-09 | |
| 2021-10-15 | KELLERMAN DONALD J Officer (VP, Clinical Dev & Med Affairs) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $0.63 exercise price | 2021-10-19 | |
| 2021-10-15 | Matthews Christine Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +112,500 112,500 owned after | $0.63 exercise price | 2021-10-19 | |
| 2021-10-15 | Lo Steven Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +237,500 237,500 owned after | $0.63 exercise price | 2021-10-19 | |
| 2021-06-10 | Grais Linda Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.93 exercise price | 2021-06-14 | |
| 2021-06-10 | ELMS STEVE Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.93 exercise price | 2021-06-14 | |
| 2021-06-10 | GREATHOUSE KENNETH Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.93 exercise price | 2021-06-14 | |
| 2021-06-10 | XANTHOPOULOS KLEANTHIS G Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.93 exercise price | 2021-06-14 | |
| 2021-06-10 | Hagan Joseph P Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.93 exercise price | 2021-06-14 | |
| 2021-05-24 | McGee Kathy M. Director | 4 | 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 | $0.73 exercise price | 2021-05-25 | |
| 2021-03-30 | Lo Steven Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +465,000 465,000 owned after | $1.20 exercise price | 2021-04-01 | |
| 2021-03-30 | Lewis Hayley Officer (See Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +65,000 65,000 owned after | $1.20 exercise price | 2021-04-01 | |
| 2021-03-30 | KELLERMAN DONALD J Officer (VP, Clinical Dev & Med Affairs) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +65,000 65,000 owned after | $1.20 exercise price | 2021-04-01 | |
| 2021-03-30 | Matthews Christine Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +162,500 162,500 owned after | $1.20 exercise price | 2021-04-01 | |
| 2021-03-18 | Lo Steven Director, Officer (Chief Executive Officer) | 4 | 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 | $1.37 exercise price | 2021-03-19 |