Postma Robert W 4
4 · ZIOPHARM ONCOLOGY INC · Filed May 6, 2021
Insider Transaction Report
Form 4
Postma Robert W
Director
Transactions
- Award
Stock Option (right to buy)
2021-03-04+18,750→ 18,750 totalExercise: $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 totalExercise: $4.31Exp: 2031-03-03→ Common Stock (150,000 underlying)
Holdings
- 3,574(indirect: By Spouse)
Common Stock
- 4,195,508(indirect: See footnote)
Common Stock
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.