Last 12 months
Inside the activity.
0 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 11, 2020 Filed Mar 13, 2020 20:10 UTC |
Schramm Vern LeeDirector
|
GrantCommon Stock | 8,414 | $1.04 | $8,750.56 |
DisclosureSEC source: 0001415889-20-000738 · form4-03132020_040306.xml · nonDerivative · entry 2 Schramm Vern Lee · CIK 0001719553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,498 F3 · shares: Shares issued in lieu of cash compensation in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending December 31, 2019. F4 · price: Based on the stock price at December 31, 2019, at which time cash compensation would have otherwise been paid for service on the Issuer's Board of Directors. Read SEC document |
| March 11, 2020 Filed Mar 13, 2020 20:10 UTC |
Schramm Vern LeeDirector
|
GrantCommon Stock | 14,584 | $0.60 | $8,750.40 |
DisclosureSEC source: 0001415889-20-000738 · form4-03132020_040306.xml · nonDerivative · entry 1 Schramm Vern Lee · CIK 0001719553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,084 F1 · shares: Shares issued in lieu of cash compensation in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending September 30, 2019. F2 · price: Based on the stock price at September 30, 2019, at which time cash compensation would have otherwise been paid for service on the Issuer's Board of Directors. Read SEC document |
| March 10, 2020 Filed Mar 13, 2020 20:10 UTC |
BORKOWSKI EDWARDDirector
|
GrantCommon Stock | 6,330 | $4.74 | $30,004.20 |
DisclosureSEC source: 0001415889-20-000737 · form4-03132020_040301.xml · nonDerivative · entry 4 BORKOWSKI EDWARD · CIK 0001197542 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 409,773 F7 · shares: Shares issued in lieu of cash compensation in connection with the Reporting Person's service on the Issuer's Board of Directors during 2016. F8 · price: Based on the stock price at April 21, 2017, at which time cash compensation would have otherwise been paid for service on the Issuer's Board of Directors. Read SEC document |
| March 10, 2020 Filed Mar 13, 2020 20:10 UTC |
BORKOWSKI EDWARDDirector
|
GrantCommon Stock | 1,319 | $4.74 | $6,252.06 |
DisclosureSEC source: 0001415889-20-000737 · form4-03132020_040301.xml · nonDerivative · entry 3 BORKOWSKI EDWARD · CIK 0001197542 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 403,443 F5 · shares: Shares issued in lieu of cash compensation in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending December 31, 2016. F6 · price: Based on the stock price at December 31, 2016, at which time cash compensation would have otherwise been paid for service on the Issuer's Board of Directors. Read SEC document |
| March 10, 2020 Filed Mar 13, 2020 20:10 UTC |
BORKOWSKI EDWARDDirector
|
GrantCommon Stock | 8,414 | $1.04 | $8,750.56 |
DisclosureSEC source: 0001415889-20-000737 · form4-03132020_040301.xml · nonDerivative · entry 2 BORKOWSKI EDWARD · CIK 0001197542 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 402,124 F3 · shares: Shares issued in lieu of cash compensation in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending December 31, 2019. F4 · price: Based on the stock price at December 31, 2019, at which time cash compensation would have otherwise been paid for service on the Issuer's Board of Directors. Read SEC document |
| March 10, 2020 Filed Mar 13, 2020 20:10 UTC |
BORKOWSKI EDWARDDirector
|
GrantCommon Stock | 14,584 | $0.60 | $8,750.40 |
DisclosureSEC source: 0001415889-20-000737 · form4-03132020_040301.xml · nonDerivative · entry 1 BORKOWSKI EDWARD · CIK 0001197542 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 393,710 F1 · shares: Shares issued in lieu of cash compensation in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending September 30, 2019. F2 · price: Based on the stock price at September 30, 2019, at which time cash compensation would have otherwise been paid for service on the Issuer's Board of Directors. Read SEC document |
| January 02, 2020 Filed Jan 9, 2020 21:10 UTC |
Schneiderman Daniel HCHIEF FINANCIAL OFFICER
|
GrantOptions · Derivative | 335,006 | Not disclosed Strike: $1.03 | Not disclosed |
DisclosureSEC source: 0001415889-20-000092 · form4-01092020_040101.xml · derivative · entry 1 Schneiderman Daniel H · CIK 0001565536 · CHIEF FINANCIAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 335,006 Underlying: Common Stock · 335,006 shares Expires 2030-01-02 F1 · price: Options granted in connection with the Reporting Person's appointment as Chief Financial Officer of the Issuer. The options will vest in three equal annual installments commencing on the first anniversary of the grant date, becoming fully vested on January 2, 2023. F1 · derivative.exercise_date: Options granted in connection with the Reporting Person's appointment as Chief Financial Officer of the Issuer. The options will vest in three equal annual installments commencing on the first anniversary of the grant date, becoming fully vested on January 2, 2023. Read SEC document |
| January 02, 2020 Filed Jan 29, 2020 19:01 UTC |
Ross Edmund Burke Jr.10% owner
|
Other10% Convertible Note Due 2020 · Derivative | Not disclosed | $1,000,000.00 Strike: $2.50 | $1,000,000.00 |
DisclosureSEC source: 0001415889-20-000180 · form4-01292020_110109.xml · derivative · entry 2 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · owned by ADEC Private Equity Investments, LLC Disclosed balance after: 0 Underlying: Common Stock · 400,000 shares Expires not disclosed F1 · kind: As of January 2, 2020, the Convertible Notes have been fully repaid pursuant to their terms and as a result of such repayment, have been cancelled. F2 · reported_value: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F2 · price: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F4 · derivative.exercise_date: The convertible note was exercisable at any time prior to the earlier to occur of (i) ten Business Days following the receipt by the Issuer or AzurRx BioPharma SAS of the French research and development tax credits for the 2019 tax year, which the Company or ABS expected to receive within nine months following December 31, 2019 or (ii) December 31, 2020. F4 · derivative.expiration_date: The convertible note was exercisable at any time prior to the earlier to occur of (i) ten Business Days following the receipt by the Issuer or AzurRx BioPharma SAS of the French research and development tax credits for the 2019 tax year, which the Company or ABS expected to receive within nine months following December 31, 2019 or (ii) December 31, 2020. Read SEC document |
| January 02, 2020 Filed Jan 29, 2020 19:01 UTC |
Ross Edmund Burke Jr.10% owner
|
Other10% Convertible Note Due 2019 · Derivative | Not disclosed | $1,000,000.00 Strike: $2.50 | $1,000,000.00 |
DisclosureSEC source: 0001415889-20-000180 · form4-01292020_110109.xml · derivative · entry 1 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · owned by ADEC Private Equity Investments, LLC Disclosed balance after: 0 Underlying: Common Stock · 400,000 shares Expires not disclosed F1 · kind: As of January 2, 2020, the Convertible Notes have been fully repaid pursuant to their terms and as a result of such repayment, have been cancelled. F2 · reported_value: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F2 · price: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F3 · derivative.exercise_date: The Convertible Note was exercisable at any time prior to the earlier to occur of (i) ten Business Days following the receipt by AzurRx BioPharma, Inc. (the "Issuer") or AzurRx BioPharma SAS of the French research and development tax credits for the 2018 tax year, which the Company or ABS expected to receive within nine months following December 31, 2018 or (ii) December 23, 2019. F3 · derivative.expiration_date: The Convertible Note was exercisable at any time prior to the earlier to occur of (i) ten Business Days following the receipt by AzurRx BioPharma, Inc. (the "Issuer") or AzurRx BioPharma SAS of the French research and development tax credits for the 2018 tax year, which the Company or ABS expected to receive within nine months following December 31, 2018 or (ii) December 23, 2019. Read SEC document |
| December 31, 2019 Filed Jan 3, 2020 21:11 UTC |
CASAMENTO CHARLES JDirector
|
GrantCommon Stock | 7,500 | $1.04 | $7,800.00 |
DisclosureSEC source: 0001415889-20-000046 · form4-01032020_010128.xml · nonDerivative · entry 1 CASAMENTO CHARLES J · CIK 0001117167 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,000 F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending December 31, 2019. Read SEC document |
| December 31, 2019 Filed Jan 4, 2020 02:45 UTC |
BORKOWSKI EDWARDDirector
|
GrantCommon Stock | 7,500 | $1.04 | $7,800.00 |
DisclosureSEC source: 0001415889-20-000048 · form4-01032020_060126.xml · nonDerivative · entry 1 BORKOWSKI EDWARD · CIK 0001197542 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 379,126 F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending December 31, 2019. Read SEC document |
| December 31, 2019 Filed Jan 3, 2020 21:09 UTC |
Riddell AlastairDirector
|
GrantCommon Stock | 7,500 | $1.04 | $7,800.00 |
DisclosureSEC source: 0001415889-20-000044 · form4-01032020_010132.xml · nonDerivative · entry 1 Riddell Alastair · CIK 0001681349 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending December 31, 2019. Read SEC document |
| December 31, 2019 Filed Jan 3, 2020 21:06 UTC |
Schramm Vern LeeDirector
|
GrantCommon Stock | 7,500 | $1.04 | $7,800.00 |
DisclosureSEC source: 0001415889-20-000042 · form4-01032020_010144.xml · nonDerivative · entry 1 Schramm Vern Lee · CIK 0001719553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,500 F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending December 31, 2019. Read SEC document |
| December 20, 2019 Filed Jan 4, 2020 02:45 UTC |
BORKOWSKI EDWARDDirector
|
GrantWarrants · Derivative | 51,547 | Not disclosed Strike: $1.07 | Not disclosed |
DisclosureSEC source: 0001415889-20-000048 · form4-01032020_060126.xml · derivative · entry 4 BORKOWSKI EDWARD · CIK 0001197542 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,094 Underlying: Common Stock · 51,547 shares Expires 2024-12-20 F4 · price: As additional consideration of the NPA, each holder also received Warrants to purchase that number of shares of the Company's Common Stock equal to one-half of the Conversion Shares issuable upon conversion of the Notes (the "Warrant Shares"). F4 · derivative.underlying_shares: As additional consideration of the NPA, each holder also received Warrants to purchase that number of shares of the Company's Common Stock equal to one-half of the Conversion Shares issuable upon conversion of the Notes (the "Warrant Shares"). Read SEC document |
| December 20, 2019 Filed Jan 4, 2020 02:45 UTC |
BORKOWSKI EDWARDDirector
|
Grant9.0% Senior Convertible Promissory Note · Derivative | Not disclosed | Not disclosed Strike: $0.97 | $100,000.00 |
DisclosureSEC source: 0001415889-20-000048 · form4-01032020_060126.xml · derivative · entry 3 BORKOWSKI EDWARD · CIK 0001197542 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 103,093 shares Expires 2020-09-20 F2 · price: Pursuant to a Note Purchase Agreement ("NPA") entered into on December 20, 2019 by the Reporting Person and the Issuer, each Senior Convertible Promissory Note (the "Notes") accrues interest at a rate of 9% per annum, and is convertible, at the option of the holder into shares of the Company's Common Stock at a price of $0.97 per share. F2 · derivative.exercise_date: Pursuant to a Note Purchase Agreement ("NPA") entered into on December 20, 2019 by the Reporting Person and the Issuer, each Senior Convertible Promissory Note (the "Notes") accrues interest at a rate of 9% per annum, and is convertible, at the option of the holder into shares of the Company's Common Stock at a price of $0.97 per share. F3 · derivative.underlying_shares: Represents the number of shares of Common Stock issuable upon conversion of the principal amount of the Note at the initial conversion price of the 9% Senior Convertible Note. Read SEC document |
| October 08, 2019 Filed Oct 11, 2019 01:11 UTC |
SAPIRSTEIN JAMESDirector · PRESIDENT AND CEO
|
GrantOptions · Derivative | 300,000 | Not disclosed Strike: $0.52 | Not disclosed |
DisclosureSEC source: 0001415889-19-001167 · form4-10102019_061006.xml · derivative · entry 2 SAPIRSTEIN JAMES · CIK 0001559509 · Director · PRESIDENT AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Stock · 300,000 shares Expires 2029-10-08 F2 · price: Options granted in connection with the Reporting Person's appointment as President and Chief Executive Officer of the Issuer. The options will vest (i) 50,000 upon the Company initiating its next Phase II clinical trial in the United States for MS1819, (ii) 50,000 upon the Company completing its next Phase II clinical trial in the United States for MS1819, (iii) 100,000 upon the Company initiating a Phase III clinical trial in the United States for MS1819 and (iv) 100,000 upon the Company initiating a Phase I clinical trial in the United States for any product other than MS1819. F2 · derivative.exercise_date: Options granted in connection with the Reporting Person's appointment as President and Chief Executive Officer of the Issuer. The options will vest (i) 50,000 upon the Company initiating its next Phase II clinical trial in the United States for MS1819, (ii) 50,000 upon the Company completing its next Phase II clinical trial in the United States for MS1819, (iii) 100,000 upon the Company initiating a Phase III clinical trial in the United States for MS1819 and (iv) 100,000 upon the Company initiating a Phase I clinical trial in the United States for any product other than MS1819. Read SEC document |
| October 08, 2019 Filed Oct 11, 2019 01:11 UTC |
SAPIRSTEIN JAMESDirector · PRESIDENT AND CEO
|
GrantCommon Stock | 200,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-19-001167 · form4-10102019_061006.xml · nonDerivative · entry 1 SAPIRSTEIN JAMES · CIK 0001559509 · Director · PRESIDENT AND CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 F1 · price: Represents grant of restricted stock issued in connection with the Reporting Person's appointment as President and Chief Executive Officer of the Issuer. The shares of restricted stock will vest (i) 100,000 upon the first commercial sale in the United States of MS1819 and (ii) 100,000 shares upon the total market capitalization of the Company exceeding $1.0 billion for 20 consecutive trading days. Read SEC document |
| September 30, 2019 Filed Oct 1, 2019 18:27 UTC |
CASAMENTO CHARLES JDirector
|
GrantCommon | 7,500 | $0.60 | $4,500.00 |
DisclosureSEC source: 0001415889-19-001128 · form4-10012019_111009.xml · nonDerivative · entry 1 CASAMENTO CHARLES J · CIK 0001117167 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,500 F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending September 30, 2019. Read SEC document |
| September 30, 2019 Filed Oct 1, 2019 18:29 UTC |
Riddell AlastairDirector
|
GrantCommon Stock | 7,500 | $0.60 | $4,500.00 |
DisclosureSEC source: 0001415889-19-001130 · form4-10012019_111015.xml · nonDerivative · entry 1 Riddell Alastair · CIK 0001681349 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,500 F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending September 30, 2019. Read SEC document |
| September 30, 2019 Filed Oct 1, 2019 18:25 UTC |
Schramm Vern LeeDirector
|
GrantCommon Stock | 7,500 | $0.60 | $4,500.00 |
DisclosureSEC source: 0001415889-19-001126 · form4-10012019_111033.xml · nonDerivative · entry 1 Schramm Vern Lee · CIK 0001719553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending September 30, 2019. Read SEC document |
| September 30, 2019 Filed Oct 1, 2019 18:24 UTC |
BORKOWSKI EDWARDDirector
|
GrantCommon Stock | 7,500 | $0.60 | $4,500.00 |
DisclosureSEC source: 0001415889-19-001124 · form4-10012019_111046.xml · nonDerivative · entry 1 BORKOWSKI EDWARD · CIK 0001197542 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 371,626 F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending September 30, 2019. Read SEC document |
| June 30, 2019 Filed Jul 2, 2019 22:41 UTC |
CASAMENTO CHARLES JDirector
|
GrantCommon | 7,500 | $1.70 | $12,750.00 |
DisclosureSEC source: 0001415889-19-000816 · form4-07022019_030701.xml · nonDerivative · entry 1 CASAMENTO CHARLES J · CIK 0001117167 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,000 F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending June 30, 2019. Read SEC document |
| June 30, 2019 Filed Jul 2, 2019 22:42 UTC |
Riddell AlastairDirector
|
GrantCommon Stock | 7,500 | $1.70 | $12,750.00 |
DisclosureSEC source: 0001415889-19-000818 · form4-07022019_030716.xml · nonDerivative · entry 1 Riddell Alastair · CIK 0001681349 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,000 F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending June 30, 2019. Read SEC document |
| June 30, 2019 Filed Jul 2, 2019 22:46 UTC |
BORKOWSKI EDWARDDirector
|
GrantCommon Stock | 7,500 | $1.70 | $12,750.00 |
DisclosureSEC source: 0001415889-19-000820 · form4-07022019_030745.xml · nonDerivative · entry 1 BORKOWSKI EDWARD · CIK 0001197542 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 364,126 F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors. Read SEC document |
| June 30, 2019 Filed Jul 2, 2019 22:37 UTC |
Schramm Vern LeeDirector
|
GrantCommon Stock | 7,500 | $1.70 | $12,750.00 |
DisclosureSEC source: 0001415889-19-000814 · form4-07022019_030744.xml · nonDerivative · entry 1 Schramm Vern Lee · CIK 0001719553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,500 F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending June 30, 2019. Read SEC document |
| June 13, 2019 Filed Jun 18, 2019 01:50 UTC |
CASAMENTO CHARLES JDirector
|
GrantCommon Stock | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-19-000744 · form4-06172019_060631.xml · nonDerivative · entry 1 CASAMENTO CHARLES J · CIK 0001117167 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,500 F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors. Read SEC document |
| June 13, 2019 Filed Jun 18, 2019 01:51 UTC |
Riddell AlastairDirector
|
GrantCommon Stock | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-19-000745 · form4-06172019_060638.xml · nonDerivative · entry 1 Riddell Alastair · CIK 0001681349 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,500 F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors. Read SEC document |
| June 13, 2019 Filed Jun 18, 2019 01:49 UTC |
BORKOWSKI EDWARDDirector
|
GrantCommon Stock | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-19-000743 · form4-06172019_060630.xml · nonDerivative · entry 1 BORKOWSKI EDWARD · CIK 0001197542 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 386,626 F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors. Read SEC document |
| June 13, 2019 Filed Jun 18, 2019 01:48 UTC |
Schramm Vern LeeDirector
|
GrantCommon Stock | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-19-000742 · form4-06172019_060616.xml · nonDerivative · entry 1 Schramm Vern Lee · CIK 0001719553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors. Read SEC document |
| June 13, 2019 Filed Jun 22, 2019 00:10 UTC Amendment |
CASAMENTO CHARLES JDirector
|
GrantOptions · Derivative | 30,000 | $0.00 Strike: $1.75 | $0.00 |
DisclosureSEC source: 0001415889-19-000788 · form4a-06212019_050657.xml · derivative · entry 1 CASAMENTO CHARLES J · CIK 0001117167 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2024-06-13 F1 · derivative.exercise_date: Options will vest in quarterly installments over a one-year period beginning on June 30, 2019. Read SEC document |
| June 13, 2019 Filed Jun 22, 2019 00:08 UTC Amendment |
BORKOWSKI EDWARDDirector
|
GrantOptions · Derivative | 30,000 | $0.00 Strike: $1.75 | $0.00 |
DisclosureSEC source: 0001415889-19-000786 · form4a-06212019_050608.xml · derivative · entry 1 BORKOWSKI EDWARD · CIK 0001197542 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2024-06-13 F1 · derivative.exercise_date: Options will vest in quarterly installments over a one-year period beginning on June 30, 2019. Read SEC document |
| June 13, 2019 Filed Jun 22, 2019 00:01 UTC Amendment |
Riddell AlastairDirector
|
GrantOptions · Derivative | 30,000 | $0.00 Strike: $1.75 | $0.00 |
DisclosureSEC source: 0001415889-19-000782 · form4a-06212019_050614.xml · derivative · entry 1 Riddell Alastair · CIK 0001681349 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2024-06-13 F1 · derivative.exercise_date: Options will vest in quarterly installments over a one-year period beginning on June 30, 2019. Read SEC document |
| June 13, 2019 Filed Jun 22, 2019 00:04 UTC Amendment |
Schramm Vern LeeDirector
|
GrantOptions · Derivative | 30,000 | $0.00 Strike: $1.75 | $0.00 |
DisclosureSEC source: 0001415889-19-000784 · form4a-06212019_050635.xml · derivative · entry 1 Schramm Vern Lee · CIK 0001719553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2024-06-13 F1 · derivative.exercise_date: Options will vest in quarterly installments over a one-year period beginning on June 30, 2019. Read SEC document |
| June 13, 2019 Filed Jul 20, 2020 21:53 UTC |
Pennington JamesCHIEF MEDICAL OFFICER
|
GrantStock option (right to buy) · Derivative | 110,000 | $0.00 Strike: $1.75 | $0.00 |
DisclosureSEC source: 0001415889-20-001938 · form4-07202020_060734.xml · derivative · entry 1 Pennington James · CIK 0001668704 · CHIEF MEDICAL OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,000 Underlying: Common stock, par value $0.0001 per share · 110,000 shares Expires 2024-06-12 F1 · derivative.exercise_date: The stock option vests, if at all, upon the achievement of certain specified performance targets. Vesting is conditioned on Mr. Pennington's continued employment by AzurRx BioPharma, Inc. on the applicable vesting date. Read SEC document |
| March 31, 2019 Filed Apr 30, 2019 00:24 UTC |
CASAMENTO CHARLES JDirector
|
GrantCommon Stock | 7,500 | $2.42 | $18,150.00 |
DisclosureSEC source: 0001415889-19-000487 · form4-04292019_050423.xml · nonDerivative · entry 1 CASAMENTO CHARLES J · CIK 0001117167 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,500 F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending March 31, 2019. Read SEC document |
| March 31, 2019 Filed Apr 30, 2019 00:27 UTC |
BORKOWSKI EDWARDDirector
|
GrantCommon Stock | 7,500 | $2.42 | $18,150.00 |
DisclosureSEC source: 0001415889-19-000489 · form4-04292019_050411.xml · nonDerivative · entry 1 BORKOWSKI EDWARD · CIK 0001197542 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 356,626 F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending March 31, 2019. Read SEC document |
| March 31, 2019 Filed Apr 30, 2019 00:22 UTC |
Riddell AlastairDirector
|
GrantCommon Stock | 7,500 | $2.42 | $18,150.00 |
DisclosureSEC source: 0001415889-19-000485 · form4-04292019_050458.xml · nonDerivative · entry 1 Riddell Alastair · CIK 0001681349 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,500 F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending March 31, 2019. Read SEC document |
| March 31, 2019 Filed Apr 30, 2019 00:20 UTC |
Schramm Vern LeeDirector
|
GrantCommon Stock | 7,500 | $2.42 | $18,150.00 |
DisclosureSEC source: 0001415889-19-000483 · form4-04292019_050414.xml · nonDerivative · entry 1 Schramm Vern Lee · CIK 0001719553 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,000 F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending March 31, 2019. Read SEC document |
| February 14, 2019 Filed Feb 20, 2019 02:45 UTC |
Ross Edmund Burke Jr.10% owner
|
PurchaseCEDA Warrants Expiring 2020 · Derivative | 21,429 | Not disclosed Strike: $1.50 | Not disclosed |
DisclosureSEC source: 0001415889-19-000183 · form4-02192019_090201.xml · derivative · entry 10 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · owned by CEDA Investments, LLC Disclosed balance after: 21,429 Underlying: Common Stock · 21,429 shares Expires 2022-06-05 F8 · price: Amendment to warrants to reduce the exercise price to $1.50, from $5.58, in the case of the ADEC Warrants Expiring 2020, and $5.50 in the case of all other warrants listed. F3 · derivative.underlying: Common Stock of the Issuer. F1 · ownership.direct: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F9 · ownership.direct: All of the ADEC Warrants Expiring 2020 and ADEC Warrants Expiring 2021 are directly owned by ADEC Private Equity Investments, LLC. All of the EBR Warrants Expiring 2020 are directly owned by EBR Ventures, LLC. All of the CEDA Warrants Expiring 2020 are directly owned by CEDA Investments, LLC. Read SEC document |
| February 14, 2019 Filed Feb 20, 2019 02:45 UTC |
Ross Edmund Burke Jr.10% owner
|
OtherCEDA Warrants Expiring 2020 · Derivative | 21,429 | Not disclosed Strike: $5.50 | Not disclosed |
DisclosureSEC source: 0001415889-19-000183 · form4-02192019_090201.xml · derivative · entry 9 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · owned by CEDA Investments, LLC Disclosed balance after: 0 Underlying: Common Stock · 21,429 shares Expires 2022-06-05 F8 · price: Amendment to warrants to reduce the exercise price to $1.50, from $5.58, in the case of the ADEC Warrants Expiring 2020, and $5.50 in the case of all other warrants listed. F3 · derivative.underlying: Common Stock of the Issuer. F1 · ownership.direct: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F9 · ownership.direct: All of the ADEC Warrants Expiring 2020 and ADEC Warrants Expiring 2021 are directly owned by ADEC Private Equity Investments, LLC. All of the EBR Warrants Expiring 2020 are directly owned by EBR Ventures, LLC. All of the CEDA Warrants Expiring 2020 are directly owned by CEDA Investments, LLC. Read SEC document |
| February 14, 2019 Filed Feb 20, 2019 02:45 UTC |
Ross Edmund Burke Jr.10% owner
|
PurchaseEBR Warrants Expiring 2020 · Derivative | 100,000 | Not disclosed Strike: $1.50 | Not disclosed |
DisclosureSEC source: 0001415889-19-000183 · form4-02192019_090201.xml · derivative · entry 8 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · owned by EBR Ventures, LLC Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2022-06-05 F10 · shares: Represents 100,000 warrants to purchase 75,000 shares of common stock (3/4 of a share per warrant). F8 · price: Amendment to warrants to reduce the exercise price to $1.50, from $5.58, in the case of the ADEC Warrants Expiring 2020, and $5.50 in the case of all other warrants listed. F3 · derivative.underlying: Common Stock of the Issuer. F1 · ownership.direct: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F9 · ownership.direct: All of the ADEC Warrants Expiring 2020 and ADEC Warrants Expiring 2021 are directly owned by ADEC Private Equity Investments, LLC. All of the EBR Warrants Expiring 2020 are directly owned by EBR Ventures, LLC. All of the CEDA Warrants Expiring 2020 are directly owned by CEDA Investments, LLC. Read SEC document |
| February 14, 2019 Filed Feb 20, 2019 02:45 UTC |
Ross Edmund Burke Jr.10% owner
|
OtherEBR Warrants Expiring 2020 · Derivative | 100,000 | Not disclosed Strike: $5.50 | Not disclosed |
DisclosureSEC source: 0001415889-19-000183 · form4-02192019_090201.xml · derivative · entry 7 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · owned by EBR Ventures, LLC Disclosed balance after: 0 Underlying: Common Stock · 75,000 shares Expires 2022-06-05 F10 · shares: Represents 100,000 warrants to purchase 75,000 shares of common stock (3/4 of a share per warrant). F8 · price: Amendment to warrants to reduce the exercise price to $1.50, from $5.58, in the case of the ADEC Warrants Expiring 2020, and $5.50 in the case of all other warrants listed. F3 · derivative.underlying: Common Stock of the Issuer. F1 · ownership.direct: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F9 · ownership.direct: All of the ADEC Warrants Expiring 2020 and ADEC Warrants Expiring 2021 are directly owned by ADEC Private Equity Investments, LLC. All of the EBR Warrants Expiring 2020 are directly owned by EBR Ventures, LLC. All of the CEDA Warrants Expiring 2020 are directly owned by CEDA Investments, LLC. Read SEC document |
| February 14, 2019 Filed Feb 20, 2019 02:45 UTC |
Ross Edmund Burke Jr.10% owner
|
PurchaseADEC Warrants Expiring 2021 · Derivative | 371,143 | Not disclosed Strike: $1.50 | Not disclosed |
DisclosureSEC source: 0001415889-19-000183 · form4-02192019_090201.xml · derivative · entry 6 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · owned by ADEC Private Equity Investments, LLC Disclosed balance after: 371,143 Underlying: Common Stock · 371,143 shares Expires 2021-10-14 F8 · price: Amendment to warrants to reduce the exercise price to $1.50, from $5.58, in the case of the ADEC Warrants Expiring 2020, and $5.50 in the case of all other warrants listed. F3 · derivative.underlying: Common Stock of the Issuer. F1 · ownership.direct: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F9 · ownership.direct: All of the ADEC Warrants Expiring 2020 and ADEC Warrants Expiring 2021 are directly owned by ADEC Private Equity Investments, LLC. All of the EBR Warrants Expiring 2020 are directly owned by EBR Ventures, LLC. All of the CEDA Warrants Expiring 2020 are directly owned by CEDA Investments, LLC. Read SEC document |
| February 14, 2019 Filed Feb 20, 2019 02:45 UTC |
Ross Edmund Burke Jr.10% owner
|
OtherADEC Warrants Expiring 2021 · Derivative | 371,143 | Not disclosed Strike: $5.50 | Not disclosed |
DisclosureSEC source: 0001415889-19-000183 · form4-02192019_090201.xml · derivative · entry 5 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · owned by ADEC Private Equity Investments, LLC Disclosed balance after: 0 Underlying: Common Stock · 371,143 shares Expires 2021-10-14 F8 · price: Amendment to warrants to reduce the exercise price to $1.50, from $5.58, in the case of the ADEC Warrants Expiring 2020, and $5.50 in the case of all other warrants listed. F3 · derivative.underlying: Common Stock of the Issuer. F1 · ownership.direct: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F9 · ownership.direct: All of the ADEC Warrants Expiring 2020 and ADEC Warrants Expiring 2021 are directly owned by ADEC Private Equity Investments, LLC. All of the EBR Warrants Expiring 2020 are directly owned by EBR Ventures, LLC. All of the CEDA Warrants Expiring 2020 are directly owned by CEDA Investments, LLC. Read SEC document |
| February 14, 2019 Filed Feb 20, 2019 02:45 UTC |
Ross Edmund Burke Jr.10% owner
|
PurchaseADEC Warrants Expiring 2020 · Derivative | 273,598 | Not disclosed Strike: $1.50 | Not disclosed |
DisclosureSEC source: 0001415889-19-000183 · form4-02192019_090201.xml · derivative · entry 4 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · owned by ADEC Private Equity Investments, LLC Disclosed balance after: 273,598 Underlying: Common Stock · 273,598 shares Expires 2021-05-04 F8 · price: Amendment to warrants to reduce the exercise price to $1.50, from $5.58, in the case of the ADEC Warrants Expiring 2020, and $5.50 in the case of all other warrants listed. F3 · derivative.underlying: Common Stock of the Issuer. F1 · ownership.direct: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F9 · ownership.direct: All of the ADEC Warrants Expiring 2020 and ADEC Warrants Expiring 2021 are directly owned by ADEC Private Equity Investments, LLC. All of the EBR Warrants Expiring 2020 are directly owned by EBR Ventures, LLC. All of the CEDA Warrants Expiring 2020 are directly owned by CEDA Investments, LLC. Read SEC document |
| February 14, 2019 Filed Feb 20, 2019 02:45 UTC |
Ross Edmund Burke Jr.10% owner
|
OtherADEC Warrants Expiring 2020 · Derivative | 273,598 | Not disclosed Strike: $5.58 | Not disclosed |
DisclosureSEC source: 0001415889-19-000183 · form4-02192019_090201.xml · derivative · entry 3 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · owned by ADEC Private Equity Investments, LLC Disclosed balance after: 0 Underlying: Common Stock · 273,598 shares Expires 2021-05-04 F8 · price: Amendment to warrants to reduce the exercise price to $1.50, from $5.58, in the case of the ADEC Warrants Expiring 2020, and $5.50 in the case of all other warrants listed. F7 · derivative.exercise_date: Exercisable at any time subject to the terms contained therein. F3 · derivative.underlying: Common Stock of the Issuer. F1 · ownership.direct: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F9 · ownership.direct: All of the ADEC Warrants Expiring 2020 and ADEC Warrants Expiring 2021 are directly owned by ADEC Private Equity Investments, LLC. All of the EBR Warrants Expiring 2020 are directly owned by EBR Ventures, LLC. All of the CEDA Warrants Expiring 2020 are directly owned by CEDA Investments, LLC. Read SEC document |
| February 14, 2019 Filed Feb 20, 2019 02:45 UTC |
Ross Edmund Burke Jr.10% owner
|
Purchase10% Convertible Note Due 2020 · Derivative | 1,000,000 | $1,000,000.00 Strike: $2.50 | $1,000,000,000,000.00 |
DisclosureSEC source: 0001415889-19-000183 · form4-02192019_090201.xml · derivative · entry 2 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · owned by ADEC Private Equity Investments, LLC Disclosed balance after: 1,000,000 Underlying: Common Stock · 400,000 shares Expires not disclosed F1 · shares: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F1 · price: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F6 · derivative.exercise_date: Exercisable at any time prior to the earlier to occur of (i) ten Business Days following the receipt by the Issuer or AzurRx BioPharma SAS of the French research and development tax credits for the 2019 tax year, which the Company or ABS is expected to receive within nine months following December 31, 2019 or (ii) December 31, 2020. F6 · derivative.expiration_date: Exercisable at any time prior to the earlier to occur of (i) ten Business Days following the receipt by the Issuer or AzurRx BioPharma SAS of the French research and development tax credits for the 2019 tax year, which the Company or ABS is expected to receive within nine months following December 31, 2019 or (ii) December 31, 2020. F3 · derivative.underlying: Common Stock of the Issuer. F4 · derivative.underlying_shares: Represents the number of shares of common stock issuable upon conversion of the principal amount of the convertible note at the initial conversion price of the convertible note. F1 · balance_after: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F5 · ownership.direct: ADEC Private Equity Investments, LLC purchased all of securities acquired on February 14, 2019. Read SEC document |
| February 14, 2019 Filed Feb 20, 2019 02:45 UTC |
Ross Edmund Burke Jr.10% owner
|
Purchase10% Convertible Note Due 2019 · Derivative | 1,000,000 | $1,000,000.00 Strike: $2.50 | $1,000,000,000,000.00 |
DisclosureSEC source: 0001415889-19-000183 · form4-02192019_090201.xml · derivative · entry 1 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · owned by ADEC Private Equity Investments, LLC Disclosed balance after: 1,000,000 Underlying: Common Stock · 400,000 shares Expires not disclosed F1 · shares: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F1 · price: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F2 · derivative.exercise_date: Exercisable at any time prior to the earlier to occur of (i) ten Business Days following the receipt by AzurRx BioPharma, Inc. (the "Issuer") or AzurRx BioPharma SAS of the French research and development tax credits for the 2018 tax year, which the Company or ABS is expected to receive within nine months following December 31, 2018 or (ii) December 23, 2019. F2 · derivative.expiration_date: Exercisable at any time prior to the earlier to occur of (i) ten Business Days following the receipt by AzurRx BioPharma, Inc. (the "Issuer") or AzurRx BioPharma SAS of the French research and development tax credits for the 2018 tax year, which the Company or ABS is expected to receive within nine months following December 31, 2018 or (ii) December 23, 2019. F3 · derivative.underlying: Common Stock of the Issuer. F4 · derivative.underlying_shares: Represents the number of shares of common stock issuable upon conversion of the principal amount of the convertible note at the initial conversion price of the convertible note. F1 · balance_after: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F5 · ownership.direct: ADEC Private Equity Investments, LLC purchased all of securities acquired on February 14, 2019. Read SEC document |
| December 31, 2018 Filed Jan 7, 2019 23:49 UTC |
Ross Edmund Burke Jr.10% owner
|
PurchaseCommon Stock | 23,848 | $1.12 | $26,709.76 |
DisclosureSEC source: 0001415889-19-000021 · form4-01072019_030157.xml · nonDerivative · entry 5 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,540,555 F1 · shares: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F1 · price: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F5 · ownership.nature: Of the aggregate number of shares purchased on December 31, 2018, EBR Ventures, LLC purchased all 23,848 shares. Read SEC document |
| December 28, 2018 Filed Jan 2, 2019 22:58 UTC |
CASAMENTO CHARLES JDirector
|
GrantCommon Stock | 7,500 | $1.29 | $9,675.00 |
DisclosureSEC source: 0001415889-19-000010 · form4-01022019_020116.xml · nonDerivative · entry 2 CASAMENTO CHARLES J · CIK 0001117167 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,000 F1 · kind: Shares issued in connection with the Reporting Person's service on the Issuer's Board of Directors for the quarter ending December 31, 2018. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.