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ATOSSA THERAPEUTICS, INC. — Director's Dealing 2012
Nov 7, 2012
34113_dirs_2012-11-07_61d6cffb-0775-4abd-8468-bbb4f2f9f19a.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: ATOSSA GENETICS INC (ATOS)
CIK: 0001488039
Period of Report: 2012-11-07
Reporting Person: Barnhart John (Director)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 39765 | Direct |
| Common Stock | 8837 | Indirect |
| Common Stock | 8837 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $1.25 | 2021-09-01 | Common Stock (80000) | Direct | |
| Stock Option (Right to Buy) | $1.25 | 2021-09-01 | Common Stock (40000) | Direct | |
| Stock Option (Right to Buy) | $6.00 | 2022-04-30 | Common Stock (7903) | Direct |
Footnotes
F1: The Reporting Person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F2: On September 1, 2011, the Board of Directors approved a grant to the Reporting Person of stock options to purchase an aggregate of 80,000 shares of Common Stock, fully vested and exercisable as of the date of grant.
F3: The first 10,000 options vested on December 1, 2011 and the remaining options vested in equal quarterly amounts on each of March 1, 2012, June 1, 2012 and September 1, 2012.
F4: On April 30, 2012, the Board of Directors approved a grant to the Reporting Person of stock options to purchase an aggregate of 7,903 shares of Common Stock, fully vested and exercisable as of the date of grant.