Zosano Pharma Corp Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 14 rows in 2018. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-10-15: Reporting owner Kitchener Gregory David; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2018-05-31: 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).
- 2018-05-31: 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).
- 2018-05-31: 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 |
|---|---|---|---|---|---|---|---|---|
| 2018-10-15 | Kitchener Gregory 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) | +100,000 100,000 owned after | $3.93 exercise price | 2018-10-16 | |
| 2018-05-31 | XANTHOPOULOS KLEANTHIS G Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $4.24 exercise price | 2018-06-01 | |
| 2018-05-31 | WILSON TROY EDWARD Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $4.24 exercise price | 2018-06-01 | |
| 2018-05-31 | Hagan Joseph P Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $4.24 exercise price | 2018-06-01 | |
| 2018-05-31 | GREATHOUSE KENNETH Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $4.24 exercise price | 2018-06-01 | |
| 2018-05-31 | 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) | +100,000 100,000 owned after | $4.24 exercise price | 2018-06-01 | |
| 2018-05-31 | 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) | +100,000 100,000 owned after | $4.24 exercise price | 2018-06-01 | |
| 2018-05-31 | 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 | $4.24 exercise price | 2018-06-01 | |
| 2018-05-31 | 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) | +100,000 100,000 owned after | $4.27 exercise price | 2018-06-01 | |
| 2018-05-17 | ELMS STEVE Director, 10% Owner | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $4.27 exercise price | 2018-05-21 | |
| 2018-01-02 | 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 | $0.53 exercise price | 2018-03-02 | |
| 2018-01-02 | WILSON TROY EDWARD Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.53 exercise price | 2018-03-02 | |
| 2018-01-02 | Hagan Joseph P Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.53 exercise price | 2018-03-02 | |
| 2018-01-02 | XANTHOPOULOS KLEANTHIS G Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $0.53 exercise price | 2018-03-02 |