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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrants to Purchase Common Stock | $ 4.75 | 09/13/2005 | 05/31/2012 | Common Stock, $.001 par value | 35,566 | 35,566 | D | ||||||||
Director Stock Option (right to buy) | $ 4.31 | 07/20/2007 | 12/22/2014 | Common Stock, $.001 par value | 15,029 | 15,029 | D | ||||||||
Director Stock Option (right to buy) | $ 5.01 | 04/26/2006 | 04/26/2016 | Common Stock, $.001 par value | 15,000 | 15,000 | D | ||||||||
Warrants to purchase Common Stock | $ 5.09 | 05/03/2006 | 05/03/2013 | Common Stock, $.001 par value | 18,319 | 18,319 | D | ||||||||
Director Stock Option (right to buy) | $ 6.49 | 12/13/2009 | 12/13/2016 | Common Stock, $.001 par value | 15,000 | 15,000 | D | ||||||||
Stock Option (right to buy) | $ 4.85 | 06/18/2010 | 06/18/2017 | Common Stock | 15,000 | 15,000 | D | ||||||||
Stock Option (right to buy) | $ 2.73 | (3) | 12/12/2017 | Common Stock | 20,000 | 20,000 | D | ||||||||
Stock Option (right to buy) | $ 0.7 | (4) | 05/13/2019 | Common Stock | 15,000 | 15,000 | D | ||||||||
Stock Options (right to buy) | $ 2.85 | (5) | 12/31/2019 | Common Stock, $.001 par value | 7,500 | 7,500 | D | ||||||||
Stock Options (right to buy) | $ 5.09 | 03/31/2011 | 03/31/2020 | Common Stock, $.001 par value | 15,000 | 15,000 | D | ||||||||
Stock Option (right to buy) | $ 4.77 | (6) | 12/31/2020 | Common Stock | 30,000 | 30,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WEISER MICHAEL C/O ZIOPHARM ONCOLOGY, INC. 1180 AVENUE OF THE AMERICAS, SUITE 1920 NEW YORK, NY 10036 |
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/s/ Richard E. Bagley as attorney-in-fact for Michael Weiser | 05/26/2011 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Proceeds from the sales reported on this form were used to offset the reporting person's payment of tax obligations triggered by the vesting of previously awarded restricted stock. The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.51 to $6.57, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth. |
(2) | Includes grants of restricted stock with restrictions that lapsed as to 3,750 shares on December 31, 2010 and as to 15,000 shares on March 31, 2011; and restrictions that will lapse as to 3,750 shares on December 31, 2011. |
(3) | 6,667 shares vest on each of 12/12/08 and 12/12/09; 6,666 shares vest on 12/12/10. |
(4) | 5,000 shares vest on each of 12/31/09, 6/30/2010 and 12/31/2010. |
(5) | 3,750 shares vest on each of 12/31/2010 and 12/31/2011. |
(6) | 10,000 shares vest on each of 12/31/2011, 12/31/2012 and 12/31/2013. |
Remarks: Exhibit 24.1 Power of Attorney attached. |