Zosano Pharma Corp Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 16 rows in 2016. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-11-02: Reporting owner WILSON TROY EDWARD; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-11-02: Reporting owner XANTHOPOULOS KLEANTHIS G; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-11-02: Reporting owner WALKER JOHN PETER; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2016-11-02: Reporting owner Hagan Joseph P; 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 |
|---|---|---|---|---|---|---|---|---|
| 2016-11-02 | WILSON TROY EDWARD Director | 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 | $0.58 exercise price | 2016-11-04 | |
| 2016-11-02 | XANTHOPOULOS KLEANTHIS G Director | 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 | $0.58 exercise price | 2016-11-04 | |
| 2016-11-02 | WALKER JOHN PETER 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 | $0.58 exercise price | 2016-11-04 | |
| 2016-11-02 | Hagan Joseph P Director | 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 | $0.58 exercise price | 2016-11-04 | |
| 2016-09-07 | Erbez Georgia Officer (CBO and Interim CFO) | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +252,000 252,000 owned after | $0.77 exercise price | 2016-09-09 | |
| 2016-06-30 | Scharin Eric Officer (VP, Engineering & Operations) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,750 3,750 owned after | $2.57 exercise price | 2016-07-01 | |
| 2016-06-30 | Tso Winnie Wing-Kei 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) | +14,000 14,000 owned after | $2.57 exercise price | 2016-07-01 | |
| 2016-06-24 holding as of filing | Scharin Eric Officer (VP, Engineering & Operations) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $2.26 exercise price | 2016-06-24 | ||
| 2016-06-24 holding as of filing | Scharin Eric Officer (VP, Engineering & Operations) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $2.57 exercise price | 2016-06-24 | ||
| 2016-06-24 holding as of filing | Lewis Hayley Officer (VP, Reg Affairs & QA) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $2.26 exercise price | 2016-06-24 | ||
| 2016-06-24 holding as of filing | Lewis Hayley Officer (VP, Reg Affairs & QA) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $2.57 exercise price | 2016-06-24 | ||
| 2016-06-24 holding as of filing | KELLERMAN DONALD J Officer (VP, Clinical Dev & Med Affairs) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $2.26 exercise price | 2016-06-24 | ||
| 2016-06-24 holding as of filing | KELLERMAN DONALD J Officer (VP, Clinical Dev & Med Affairs) | 3 | Employee Stock Option (right to buy) Derivative · Direct | Holding | $2.57 exercise price | 2016-06-24 | ||
| 2016-05-04 | WALKER JOHN PETER Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,813 6,813 owned after | $2.11 exercise price | 2016-05-06 | |
| 2016-03-29 | Tso Winnie Wing-Kei 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) | +15,000 15,000 owned after | $2.57 exercise price | 2016-03-30 | |
| 2016-02-03 | Alataris Konstantinos Director, Officer (President, CEO) | 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 | $2.34 exercise price | 2016-02-04 |