Zosano Pharma Corp Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 15 rows, 12 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-08-19: Reporting owner Erbez Georgia; Form 4; Security Series A Warrants (right to buy); Transaction P Open market or private purchase of non-derivative or derivative security.
- 2016-08-19: Reporting owner Erbez Georgia; Form 4; Security Series B Warrants (right to buy); Transaction P Open market or private purchase of non-derivative or derivative security.
- 2016-08-19: Reporting owner Lewis Hayley; Form 4; Security Series A Warrants (right to buy); Transaction P Open market or private purchase of non-derivative or derivative security.
- 2016-08-19: Reporting owner Lewis Hayley; Form 4; Security Series B Warrants (right to buy); Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-08-19 | Erbez Georgia Officer (Interim CFO) | 4 | Series A Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +47,750 47,750 owned after | $0.13 | 2016-08-22 | |
| 2016-08-19 | Erbez Georgia Officer (Interim CFO) | 4 | Series B Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +47,750 47,750 owned after | $0.13 | 2016-08-22 | |
| 2016-08-19 | Lewis Hayley Officer (VP, Reg Affairs & Quality) | 4 | Series A Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +4,775 4,775 owned after | $0.13 | 2016-08-22 | |
| 2016-08-19 | Lewis Hayley Officer (VP, Reg Affairs & Quality) | 4 | Series B Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +4,775 4,775 owned after | $0.13 | 2016-08-22 | |
| 2016-08-19 | KELLERMAN DONALD J Officer (VP, Clinical Dev & Med Affairs) | 4 | Series A Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +15,920 15,920 owned after | $0.13 | 2016-08-22 | |
| 2016-08-19 | KELLERMAN DONALD J Officer (VP, Clinical Dev & Med Affairs) | 4 | Series B Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +15,920 15,920 owned after | $0.13 | 2016-08-22 | |
| 2016-08-19 | WALKER JOHN PETER Director | 4 | Series A Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +63,700 63,700 owned after | $0.13 | 2016-08-22 | |
| 2016-08-19 | WALKER JOHN PETER Director | 4 | Series B Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +63,700 63,700 owned after | $0.13 | 2016-08-22 | |
| 2016-08-19 | Alataris Konstantinos Director, Officer (President, CEO) | 4 | Series A Warrants (right to buy) Derivative · Indirect · By The Alataris Family Trust | P Open market or private purchase of non-derivative or derivative security | +127,389 127,389 owned after | $0.13 | 2016-08-22 | |
| 2016-08-19 | Alataris Konstantinos Director, Officer (President, CEO) | 4 | Series B Warrants (right to buy) Derivative · Indirect · By The Alataris Family Trust | P Open market or private purchase of non-derivative or derivative security | +127,389 127,389 owned after | $0.13 | 2016-08-22 | |
| 2016-08-19 | XANTHOPOULOS KLEANTHIS G Director | 4 | Series A Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +15,920 15,920 owned after | $0.13 | 2016-08-22 | |
| 2016-08-19 | XANTHOPOULOS KLEANTHIS G Director | 4 | Series B Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +15,920 15,920 owned after | $0.13 | 2016-08-22 |