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MANNKIND CORP — Director's Dealing 2015
Oct 16, 2015
31835_dirs_2015-10-15_4e5394fd-1578-4ee8-a742-0323acfd92f0.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: MANNKIND CORP (MNKD)
CIK: 0000899460
Period of Report: 2015-10-14
Reporting Person: Kocinsky Joseph (CTO)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock, $.01 par value | 82736 | Direct |
| Common Stock, $.01 par value | 5375 | Direct |
| Common Stock, $.01 par value | 6700 | Direct |
| Common Stock, $.01 par value | 9300 | Direct |
| Common Stock, $.01 par value | 20700 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $11.00 | 2015-11-16 | Common Stock (8000) | Direct | |
| Employee Stock Option (right to buy) | $9.22 | 2017-08-15 | Common Stock (8400) | Direct | |
| Employee Stock Option (right to buy) | $7.48 | 2019-08-19 | Common Stock (14900) | Direct | |
| Employee Stock Option (right to buy) | $6.25 | 2020-06-10 | Common Stock (1800) | Direct | |
| Employee Stock Option (right to buy) | $5.93 | 2020-08-19 | Common Stock (25000) | Direct | |
| Employee Stock Option (right to buy) | $2.41 | 2021-08-17 | Common Stock (17438) | Direct | |
| Employee Stock Option (right to buy) | $2.32 | 2022-08-16 | Common Stock (31000) | Direct | |
| Employee Stock Option (right to buy) | $5.93 | 2020-08-19 | Common Stock (13000) | Direct | |
| Employee Stock Option (right to buy) | $5.89 | 2023-08-22 | Common Stock (21400) | Direct | |
| Employee Stock Option (right to buy) | $7.09 | 2024-08-20 | Common Stock (18600) | Direct | |
| Employee Stock Option (right to buy) | $3.91 | 2025-08-26 | Common Stock (31100) | Direct | |
| Employee Stock Option (right to buy) | $6.85 | 2023-05-23 | Common Stock (141250) | Direct |
Footnotes
F1: Acquired pursuant to a Restricted Stock Unit Award vesting on 8/16/16.
F2: Acquired pursuant to a Restricted Stock Unit Award; 3350 shares vesting on 8/22/16 and 3350 shares vesting on 8/22/17.
F3: Acquired pursuant to a Restricted Stock Unit Award; 3100 shares vesting on 8/21/16, 3100 shares vesting on 8/21/17 and 3100 shares vesting on 8/21/18.
F4: 4-year vesting schedule with 1/4th of shares vesting on the first anniversary or 5/27/16 and thereafter 1/4th annually.
F5: Fully vested as of filing.
F6: 25833 shares fully vested at time of filing; 5167 shares vesting on 8/16/16.
F7: 12483 shares fully vested at time of filing; 5350 shares vesting on 8/22/16 and 3567 shares vesting on 8/22/17.
F8: 6199 shares fully vested at time of filing; 4650 shares vesting by 8/21/16, 4650 shares by 8/21/17 and 3101 shares vesting by 8/21/18.
F9: 4-year vesting schedule with 1/4th of shares vesting on the first anniversary of the vesting determination date and thereafter 1/48th monthly.