Zosano Pharma Corp Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 7 rows in 2017. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-10-03: Reporting owner GREATHOUSE KENNETH; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-08-09: Reporting owner WALKER JOHN PETER; Form 4; Security Employee Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-05-31: Reporting owner KELLERMAN DONALD J; Form 4; Security Employee Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2017-05-31: Reporting owner Lewis Hayley; 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 |
|---|---|---|---|---|---|---|---|---|
| 2017-10-03 | GREATHOUSE KENNETH Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +60,000 60,000 owned after | $0.84 exercise price | 2017-10-05 | |
| 2017-08-09 | WALKER JOHN PETER Director, Officer (President and CEO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 300,000 owned after | $0.99 exercise price | 2017-08-11 | |
| 2017-05-31 | KELLERMAN DONALD J Officer (VP, Clinical Dev & Med Affairs) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +180,000 180,000 owned after | $0.58 exercise price | 2018-04-27 | |
| 2017-05-31 | Lewis Hayley Officer (Senior VP, Operations) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +180,000 180,000 owned after | $0.58 exercise price | 2018-04-27 | |
| 2017-04-10 | KELLERMAN DONALD J Officer (VP, Clinical Dev & Med Affairs) | 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 | 2017-04-12 | |
| 2017-04-10 | Lewis Hayley Officer (VP, Reg Affairs & Quality) | 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 | 2017-04-12 | |
| 2017-04-10 | 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) | +3,500 17,500 owned after | $2.57 exercise price | 2017-04-12 |