Print Page     Close Window     

SEC Filings

S-3
SEELOS THERAPEUTICS, INC. filed this Form S-3 on 02/01/2019
Entire Document
 

Richard W. Pascoe

 

-

     

8,166

   

-

   

$

63.30

   

1/3/2028

 

-

 

 

 

-

 

 

3,916

 

 

$

22,562

 
 

 

3,000

     

-

 

 

-

 

 

$

753.00

 

 

3/18/2023

 

                         

 

 

979

 

 

20

 

 

-

 

 

$

429.00

 

 

1/29/2025

 

 

 

 

 

 

 

 

 

 

1,146

 

 

520

 

 

-

 

 

$

333.00

 

 

3/15/2026

 

 

 

 

 

 

 

 

Brian T. Dorsey (2)

 

2,000

   

-

   

-

   

$

63.30

   

1/3/2028

 

-

 

 

 

-

 

 

-

 

 

 

-

 
 

 

1,000

 

 

-

 

 

-

 

 

$

339.00

 

 

12/1/2024

 

                         

 

 

666

 

 

-

 

 

-

   

$

333.00

 

 

3/15/2026

 

 

 

 

 

 

 

 

Neil Morton

 

-

   

2,000

   

-

   

$

63.30

   

1/3/2028

 

-

 

 

 

-

 

 

2,666

 

 

$

15,358

 
 

 

400

 

 

-

 

 

-

 

 

$

696.00

 

 

3/20/2024

 

                         

 

 

266

 

 

-

 

 

-

 

(3)

$

696.00

 

 

3/20/2024

 

 

 

 

 

 

 

 

 

 

195

 

 

4

 

 

 

 

$

429.00

 

 

1/29/2025

 

 

 

 

 

 

 

 

 

 

194

 

 

88

 

 

 

 

$

333.00

 

 

3/15/2026

 

 

 

 

 

 

 

 

 

 

366

 

 

183

 

 

 

 

$

171.00

 

 

4/1/2026

 

 

 

 

 

 

 

 

(1)

Except as otherwise noted, all stock options have a term of ten years from the date of grant and vest over four years, with 25% of the shares subject to the options vesting on the first anniversary of the date of grant and the remainder vesting in 36 monthly tranches thereafter. For a description of the accelerated vesting provisions applicable to the stock options granted to the Named Executive Officer, see "Payments Upon Termination or Change in Control" below. The vesting of all of Mr. Dorsey's options accelerated upon his termination of employment on August 30, 2018, pursuant to the terms of his release agreement.

(2)

The vesting of all of Mr. Dorsey's restricted stock units accelerated upon his termination of employment on August 30, 2018, pursuant to the terms of his release agreement.

(3)

Represents performance-based stock options that vested based on the Company's initiation of one or more Phase II or later clinical trials of assets approved by the Board (each, a "Qualifying Trial") on or before December 31, 2015, as follows: (1) 25% of the underlying shares vested upon the First Vesting Date (e.g., the enrollment of the first patient in the first Qualifying Trial), which occurred as a result of the randomization and first dosing of the first RayVa Phase 2a patient in December 2014; 1/96th of the total number of shares subject to the option vested monthly thereafter over a 24-month period so that the option was vested and exercisable with respect to 50% of the total number of shares of stock underlying the option on the second anniversary of the First Vesting Date, and (2) 25% of the underlying shares vested upon the Second Vesting Date (e.g., the enrollment of the first patient in the second Qualifying Trial), which occurred as a result of the randomization and first dosing of the first fispemifene patient in May 2015; 1/96th of the total number of shares subject to the option vested monthly thereafter over a 24-month period so that the option was vested and exercisable with respect to 100% of the total number of shares of stock underlying the option on the second anniversary of the Second Vesting Date.

47



© Apricus Biosciences, Inc.