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 2019. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-10-21: 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).
- 2019-06-11: Reporting owner Kitchener Gregory David; Form 4/A; Security Employee Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2019-06-11: Reporting owner KELLERMAN DONALD J; Form 4/A; Security Employee Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2019-06-11: Reporting owner Lewis Hayley; Form 4/A; 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 |
|---|---|---|---|---|---|---|---|---|
| 2019-10-21 | 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 | $1.94 exercise price | 2019-10-23 | |
| 2019-06-11 | Kitchener Gregory David Officer (Chief Financial Officer) | 4/A | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 45,000 owned after | $2.75 exercise price | 2019-06-19 | |
| 2019-06-11 | KELLERMAN DONALD J Officer (VP, Clinical Dev & Med Affairs) | 4/A | Employee 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 | $2.75 exercise price | 2019-06-19 | |
| 2019-06-11 | Lewis Hayley Officer (See Remarks) | 4/A | Employee 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 | $2.75 exercise price | 2019-06-19 | |
| 2019-06-11 | Kitchener Gregory David 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) | +45,000 45,000 owned after | $2.75 exercise price | 2019-06-13 | |
| 2019-06-11 | 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) | +30,000 30,000 owned after | $2.75 exercise price | 2019-06-13 | |
| 2019-06-11 | Lewis Hayley Officer (See Remarks) | 4 | Employee 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 | $2.75 exercise price | 2019-06-13 | |
| 2019-02-26 | 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) | +25,000 25,000 owned after | $4.78 exercise price | 2019-02-28 | |
| 2019-01-14 | Grais Linda S 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 | $2.56 exercise price | 2019-01-16 | |
| 2019-01-02 | Hagan Joseph P Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,500 1,500 owned after | $2.34 exercise price | 2019-07-18 | |
| 2019-01-02 | 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) | +1,500 1,500 owned after | $2.34 exercise price | 2019-07-18 | |
| 2019-01-02 | GREATHOUSE KENNETH Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,500 1,500 owned after | $2.34 exercise price | 2019-07-18 | |
| 2019-01-02 | XANTHOPOULOS KLEANTHIS G Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,500 1,500 owned after | $2.34 exercise price | 2019-07-18 | |
| 2019-01-02 | WILSON TROY EDWARD Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,500 1,500 owned after | $2.34 exercise price | 2019-07-18 |