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4//SEC Filing

Postma Robert W 4

Accession 0001209191-21-030742

CIK 0001107421other
View on SEC.govCompany Profile

Filed

May 5, 8:00 PM ET

Accepted

May 6, 7:24 PM ET

Size

11.4 KB

Accession

0001209191-21-030742

Insider Transaction Report

Form 4
Period: 2021-03-04
ZIOPHARM ONCOLOGY INCZIOP
Postma Robert W
Director
Transactions
  • Award

    Stock Option (right to buy)

    2021-03-04+18,750→ 18,750 total
    Exercise: $4.31Exp: 2031-03-03→ Common Stock (18,750 underlying)
  • Award

    Common Stock

    2021-03-04+2,500→ 1,181,362 total
  • Award

    Stock Option (right to buy)

    2021-03-04+150,000→ 150,000 total
    Exercise: $4.31Exp: 2031-03-03→ Common Stock (150,000 underlying)
Holdings

  • Common Stock

    (indirect: By Spouse)
    3,574

  • Common Stock

    (indirect: See footnote)
    4,195,508
Footnotes (5)
  • [F1]The shares will vest on 5/19/2021.
  • [F2]Includes 946,970 shares of common stock underlying the Units. The Reporting Person purchased 946,970 units of the Issuer (the "Units") for $2.64 per Unit in a private placement transaction with the Issuer. Each Unit consists of one share of common stock and a warrant to acquire one share of common stock.
  • [F3]The shares are directly held by WaterMill Asset Management Corp. ("WaterMill"). The Reporting Person serves as the principal of WaterMill.
  • [F4]1/3rd of the shares underlying this option will vest on 4/4/2021, 5/4/2021 and 5/19/2021.
  • [F5]1/36th of the shares underlying this option will vest in equal monthly installments commencing one month period after 12/15/2020.

Documents

1 file

Issuer

ZIOPHARM ONCOLOGY INC

CIK 0001107421

→
Entity typeother

Related Parties

1
  • filerCIK 0001827847

Filing Metadata

Form type
4
Filed
May 5, 8:00 PM ET
Accepted
May 6, 7:24 PM ET
Size
11.4 KB
View on SEC.gov