AI assistant
Alaunos Therapeutics, Inc. — Director's Dealing 2011
Jan 3, 2011
35407_dirs_2011-01-03_62830df2-2afa-4ae9-a417-13abdac10274.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ZIOPHARM ONCOLOGY INC (ZIOP)
CIK: 0001107421
Period of Report: 2010-12-31
Reporting Person: LEWIS JONATHAN (Director, CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2010-12-31 | Common Stock, $.001 par value | F | 21475 | $4.77 | Disposed | 494700 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2010-12-31 | Stock Option (right to buy) | $4.77 | D | 150000 | Acquired | 2020-12-31 | Common Stock (150000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock, $.001 par value | 450 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to buy) | $0.08 | 2014-01-08 | Common Stock (25674) | 25674 | Direct |
| Stock Option (right to buy) | $0.08 | 2014-01-27 | Common Stock (242979) | 242979 | Direct |
| Stock Option (right to buy) | $4.31 | 2015-06-08 | Common Stock (87789) | 87789 | Direct |
| Stock Option (right to buy) | $4.31 | 2015-09-13 | Common Stock (54161) | 54161 | Direct |
| Stock Option (right to buy) | $5.01 | 2016-04-26 | Common Stock (139315) | 139315 | Direct |
| Stock Option (right to buy) | $5.01 | 2016-04-26 | Common Stock (75000) | 75000 | Direct |
| Stock Option (right to buy) | $6.49 | 2016-12-13 | Common Stock (30000) | 30000 | Direct |
| Stock Option (right to buy) | $4.85 | 2017-06-18 | Common Stock (35000) | 35000 | Direct |
| Stock Option (right to buy) | $2.73 | 2017-12-12 | Common Stock (100000) | 100000 | Direct |
| Stock Option (right to buy) | $0.70 | 2019-05-13 | Common Stock (100000) | 100000 | Direct |
| Stock Option (right to buy) | $2.85 | 2019-12-31 | Common Stock (150000) | 150000 | Direct |
Footnotes
F1: 10,000 shares vest on each of 12/13/07, 12/13/08 and 12/13/09.
F2: 11,667 shares vest on each of 6/18/08 and 6/18/09; 11,666 shares vest on 6/18/10.
F3: 33,334 shares vest on 12/12/08; 33,333 shares vest on each of 12/12/09 and 12/12/10.
F4: 25,000 shares vest immediately, 25,000 shares vest on each of 8/13/2009, 11/13/2009 and 2/13/2010.
F5: By the Reporting Person as custodian for his minor children under the Connecticut Uniform Gifts to Minors Act.
F6: Disposition represents shares forfeited to satisfy withholding tax obligations upon the vesting of a restricted stock grant.
F7: 50,000 shares vest on each of 12/31/2010, 12/31/2011 and 12/31/2012.
F8: 50,000 shares vest on each of 12/31/2011, 12/31/2012 and 12/31/2013.