Zosano Pharma Corp Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 23 rows in 2015. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-12-15: Reporting owner Alataris Konstantinos; Form 4/A; Security Employee Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2015-12-15: Reporting owner Alataris Konstantinos; Form 4/A; Security Employee Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2015-12-15: Reporting owner Peri Laxmi; Form 4; Security Employee Stock Option (right to buy); Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2015-12-15: Reporting owner Peri Laxmi; Form 4; Security Employee 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 |
|---|---|---|---|---|---|---|---|---|
| 2015-12-15 | Alataris Konstantinos Officer (President) | 4/A | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −48,896 0 owned after | $8.18 exercise price | 2015-12-17 | |
| 2015-12-15 | Alataris Konstantinos Officer (President) | 4/A | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −160,498 0 owned after | $8.18 exercise price | 2015-12-17 | |
| 2015-12-15 | Peri Laxmi Officer (Sr. Vice President, Operations) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −40,000 0 owned after | $9.29 exercise price | 2015-12-16 | |
| 2015-12-15 | Peri Laxmi Officer (Sr. Vice President, Operations) | 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 | $2.26 exercise price | 2015-12-16 | |
| 2015-12-15 | Alataris Konstantinos Officer (President) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −48,896 0 owned after | $9.29 exercise price | 2015-12-16 | |
| 2015-12-15 | Alataris Konstantinos Officer (President) | 4 | Employee Stock Option (right to buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −160,498 0 owned after | $9.29 exercise price | 2015-12-16 | |
| 2015-12-15 | Alataris Konstantinos Officer (President) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +209,394 209,394 owned after | $2.26 exercise price | 2015-12-16 | |
| 2015-09-21 | Alataris Konstantinos Officer (President) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +48,896 48,896 owned after | $8.18 exercise price | 2015-10-01 | |
| 2015-09-21 | Alataris Konstantinos Officer (President) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +160,498 209,394 owned after | $8.18 exercise price | 2015-10-01 | |
| 2015-05-22 | Peri Laxmi Officer (Sr. Vice President, Operations) | 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 | $9.29 exercise price | 2015-05-27 | |
| 2015-05-22 | Hagan Joseph P Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +28,000 28,000 owned after | $9.29 exercise price | 2015-05-27 | |
| 2015-01-26 holding as of filing | XANTHOPOULOS KLEANTHIS G Director | 3 | Stock Option (right to buy) Derivative · Indirect · By Xanthopoulos Family Trust | Holding | $1.40 exercise price | 2015-01-26 | ||
| 2015-01-26 holding as of filing | WILSON TROY EDWARD Director | 3 | Stock Option (right to buy) Derivative · Direct | Holding | $4.52 exercise price | 2015-01-26 | ||
| 2015-01-26 holding as of filing | Tso Winnie Wing-Kei Officer (Chief Financial Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.28 exercise price | 2015-01-26 | ||
| 2015-01-26 holding as of filing | Strange Alexander Ramsay Officer (VP, Strategy & Corp. Develop.) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.40 exercise price | 2015-01-26 | ||
| 2015-01-26 holding as of filing | Strange Alexander Ramsay Officer (VP, Strategy & Corp. Develop.) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.40 exercise price | 2015-01-26 | ||
| 2015-01-26 holding as of filing | Strange Alexander Ramsay Officer (VP, Strategy & Corp. Develop.) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.40 exercise price | 2015-01-26 | ||
| 2015-01-26 holding as of filing | Strange Alexander Ramsay Officer (VP, Strategy & Corp. Develop.) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.40 exercise price | 2015-01-26 | ||
| 2015-01-26 holding as of filing | Strange Alexander Ramsay Officer (VP, Strategy & Corp. Develop.) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.28 exercise price | 2015-01-26 | ||
| 2015-01-26 holding as of filing | Oza Nandan Officer (Chief Operating Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.40 exercise price | 2015-01-26 | ||
| 2015-01-26 holding as of filing | Oza Nandan Officer (Chief Operating Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.28 exercise price | 2015-01-26 | ||
| 2015-01-26 holding as of filing | Lamba Vikram Director, Officer (President, CEO), 10% Owner | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.54 exercise price | 2015-01-26 | ||
| 2015-01-26 holding as of filing | Daddona Peter E. Director, Officer (Chief Scientific Officer) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $1.40 exercise price | 2015-01-26 |