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HRTX

HERON THERAPEUTICS, INC. /DE/

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7133
SEC CIK
0000818033
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288

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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 dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
October 31, 2018 Filed Nov 3, 2018 01:17 UTC
MANHARD KIMBERLYExecutive VP, Drug Development
OtherCommon Stock 494 $23.60 $11,656.42
Disclosure

SEC source: 0001209191-18-057056 · doc4.xml · nonDerivative · entry 1

MANHARD KIMBERLY · CIK 0001202094 · Executive VP, Drug Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 494

F1 · kind: Represents shares acquired under the Heron Therapeutics, Inc. 1997 Employee Stock Purchase Plan on October 31, 2018.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 01:12 UTC
MANHARD KIMBERLYExecutive VP, Drug Development
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 6,000 $0.00 Strike: $13.00 $0.00
Disclosure

SEC source: 0001209191-18-053532 · doc4.xml · derivative · entry 3

MANHARD KIMBERLY · CIK 0001202094 · Executive VP, Drug Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,416

Underlying: Common Stock · 6,000 shares

Expires 2026-12-21

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan dated as of May 23, 2018.

F3 · derivative.exercise_date: The stock option vests and becomes exercisable in 48 equal monthly installments beginning one month after the date of grant (12/21/2016).

Read SEC document
October 01, 2018 Filed Oct 3, 2018 01:12 UTC
MANHARD KIMBERLYExecutive VP, Drug Development
SaleCommon Stock 6,000 $32.07 $192,433.20
Disclosure

SEC source: 0001209191-18-053532 · doc4.xml · nonDerivative · entry 2

MANHARD KIMBERLY · CIK 0001202094 · Executive VP, Drug Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan dated as of May 23, 2018.

F2 · price: The range of sales prices received was $31.75 to $32.38. Upon request by the SEC staff, the issuer, or any security holder of the issuer, full information will be provided regarding the number of shares purchased or sold at each separate price.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 01:12 UTC
MANHARD KIMBERLYExecutive VP, Drug Development
Exercise / conversionCommon Stock 6,000 $13.00 $78,000.00
Disclosure

SEC source: 0001209191-18-053532 · doc4.xml · nonDerivative · entry 1

MANHARD KIMBERLY · CIK 0001202094 · Executive VP, Drug Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan dated as of May 23, 2018.

Read SEC document
September 14, 2018 Filed Sep 14, 2018 15:41 UTC
Quart Barry DDirector · Chief Executive Officer
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 19,675 $0.00 Strike: $7.20 $0.00
Disclosure

SEC source: 0001209191-18-050997 · doc4.xml · derivative · entry 2

Quart Barry D · CIK 0001384243 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 710,601

Underlying: Common Stock · 19,675 shares

Expires 2023-05-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Cash exercise and hold.

F2 · derivative.exercise_date: At the date of filing, 523,101 shares of the options granted pursuant to the underlying awards were fully vested and exercisable.

Read SEC document
September 14, 2018 Filed Sep 14, 2018 15:41 UTC
Quart Barry DDirector · Chief Executive Officer
Exercise / conversionCommon Stock 19,675 $7.20 $141,660.00
Disclosure

SEC source: 0001209191-18-050997 · doc4.xml · nonDerivative · entry 1

Quart Barry D · CIK 0001384243 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,275

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Cash exercise and hold.

Read SEC document
September 12, 2018 Filed Sep 12, 2018 16:28 UTC
TANG KEVINDirector · 10% owner
SaleCommon Stock 2,695,000 $35.75 $96,346,250.00
Disclosure

SEC source: 0001209191-18-050601 · doc4.xml · nonDerivative · entry 1

TANG KEVIN C · CIK 0001178579 · Director · 10% owner

TANG CAPITAL MANAGEMENT LLC · CIK 0001232621 · 10% owner

TANG CAPITAL PARTNERS LP · CIK 0001191935 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LP

Disclosed balance after: 5,830,215

F1 · kind: The Reporting Person's sale of common stock reported herein may be deemed to be matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of 192,308 shares of common stock purchased by the Reporting Person on March 29, 2018. The Reporting Person has sent to the Issuer the full amount of the disgorgeable profit arising from the sale reported herein.

F2 · ownership.direct: The securities are held by Tang Capital Partners, LP. Kevin C. Tang is the sole manager of Tang Capital Management, LLC, which is the general partner of Tang Capital Partners, LP.

F2 · ownership.nature: The securities are held by Tang Capital Partners, LP. Kevin C. Tang is the sole manager of Tang Capital Management, LLC, which is the general partner of Tang Capital Partners, LP.

Read SEC document
July 02, 2018 Filed Jul 4, 2018 01:05 UTC
MANHARD KIMBERLYExecutive VP, Drug Development
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 6,000 $0.00 Strike: $13.00 $0.00
Disclosure

SEC source: 0001209191-18-041386 · doc4.xml · derivative · entry 4

MANHARD KIMBERLY · CIK 0001202094 · Executive VP, Drug Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,416

Underlying: Common Stock · 6,000 shares

Expires 2026-12-21

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan dated as of May 23, 2018.

F3 · derivative.exercise_date: The stock option vests and becomes exercisable in 48 equal monthly installments beginning one month after the date of grant (12/21/2016).

Read SEC document
July 02, 2018 Filed Jul 4, 2018 01:05 UTC
MANHARD KIMBERLYExecutive VP, Drug Development
SaleCommon Stock 100 $38.85 $3,885.00
Disclosure

SEC source: 0001209191-18-041386 · doc4.xml · nonDerivative · entry 3

MANHARD KIMBERLY · CIK 0001202094 · Executive VP, Drug Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan dated as of May 23, 2018.

Read SEC document
July 02, 2018 Filed Jul 4, 2018 01:05 UTC
MANHARD KIMBERLYExecutive VP, Drug Development
SaleCommon Stock 5,900 $37.51 $221,293.66
Disclosure

SEC source: 0001209191-18-041386 · doc4.xml · nonDerivative · entry 2

MANHARD KIMBERLY · CIK 0001202094 · Executive VP, Drug Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan dated as of May 23, 2018.

F2 · price: The range of sales prices received was $37.70 to $38.60. Upon request by the SEC staff, the issuer, or any security holder of the issuer, full information will be provided regarding the number of shares purchased or sold at each separate price.

Read SEC document
July 02, 2018 Filed Jul 4, 2018 01:05 UTC
MANHARD KIMBERLYExecutive VP, Drug Development
Exercise / conversionCommon Stock 6,000 $13.00 $78,000.00
Disclosure

SEC source: 0001209191-18-041386 · doc4.xml · nonDerivative · entry 1

MANHARD KIMBERLY · CIK 0001202094 · Executive VP, Drug Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan dated as of May 23, 2018.

Read SEC document
July 02, 2018 Filed Jul 4, 2018 01:03 UTC
Hoffman Robert E.CFO & SVP, Finance
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 30,000 $0.00 Strike: $15.30 $0.00
Disclosure

SEC source: 0001209191-18-041385 · doc4.xml · derivative · entry 5

HOFFMAN ROBERT · CIK 0001166288 · CFO & SVP, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 30,000 shares

Expires 2027-04-24

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan dated as of May 30, 2018.

F5 · derivative.exercise_date: Options vest and become exercisable with respect to 32,500 shares on the first anniversary of his first day of employment (the "Grant Date"), followed by 97,500 shares vesting ratably each month over the subsequent three years, such that 130,000 options will be fully vested on the four year anniversary of the Grant Date.

Read SEC document
July 02, 2018 Filed Jul 4, 2018 01:03 UTC
Hoffman Robert E.CFO & SVP, Finance
SaleCommon Stock 1,060 $38.80 $41,123.02
Disclosure

SEC source: 0001209191-18-041385 · doc4.xml · nonDerivative · entry 4

HOFFMAN ROBERT · CIK 0001166288 · CFO & SVP, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,280

F2 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan dated as of May 30, 2018.

F4 · price: The range of sales prices received was $38.625 to $38.85. Upon request by the SEC staff, the issuer, or any security holder of the issuer, full information will be provided regarding the number of shares purchased or sold at each separate price.

Read SEC document
July 02, 2018 Filed Jul 4, 2018 01:03 UTC
Hoffman Robert E.CFO & SVP, Finance
SaleCommon Stock 28,940 $38.15 $1,104,107.30
Disclosure

SEC source: 0001209191-18-041385 · doc4.xml · nonDerivative · entry 3

HOFFMAN ROBERT · CIK 0001166288 · CFO & SVP, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,340

F2 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan dated as of May 30, 2018.

F3 · price: The range of sales prices received was $37.60 to $38.60. Upon request by the SEC staff, the issuer, or any security holder of the issuer, full information will be provided regarding the number of shares purchased or sold at each separate price.

Read SEC document
July 02, 2018 Filed Jul 4, 2018 01:03 UTC
Hoffman Robert E.CFO & SVP, Finance
Exercise / conversionCommon Stock 30,000 $15.30 $459,000.00
Disclosure

SEC source: 0001209191-18-041385 · doc4.xml · nonDerivative · entry 2

HOFFMAN ROBERT · CIK 0001166288 · CFO & SVP, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,280

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan dated as of May 30, 2018.

Read SEC document
July 02, 2018 Filed Jul 4, 2018 01:01 UTC
Rosen RobertDirector · President
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 95,531 $0.00 Strike: $7.20 $0.00
Disclosure

SEC source: 0001209191-18-041384 · doc4.xml · derivative · entry 9

Rosen Robert · CIK 0001555089 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,000

Underlying: Common Stock · 95,531 shares

Expires 2023-05-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan dated as of May 23, 2018.

F7 · derivative.exercise_date: At the date of filing, 412,500 shares of the options granted pursuant to the underlying awards were fully vested and exercisable.

Read SEC document
July 02, 2018 Filed Jul 4, 2018 01:01 UTC
Rosen RobertDirector · President
SaleCommon Stock 3,400 $38.75 $131,764.96
Disclosure

SEC source: 0001209191-18-041384 · doc4.xml · nonDerivative · entry 7

Rosen Robert · CIK 0001555089 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,640

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan dated as of May 23, 2018.

F6 · price: The range of sales prices received was $38.55 to $38.85. Upon request by the SEC staff, the issuer, or any security holder of the issuer, full information will be provided regarding the number of shares purchased or sold at each separate price.

Read SEC document
July 02, 2018 Filed Jul 4, 2018 01:01 UTC
Rosen RobertDirector · President
SaleCommon Stock 92,131 $38.13 $3,512,918.18
Disclosure

SEC source: 0001209191-18-041384 · doc4.xml · nonDerivative · entry 6

Rosen Robert · CIK 0001555089 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,040

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan dated as of May 23, 2018.

F5 · price: The range of sales prices received was $37.50 to $38.50. Upon request by the SEC staff, the issuer, or any security holder of the issuer, full information will be provided regarding the number of shares purchased or sold at each separate price.

Read SEC document
July 02, 2018 Filed Jul 4, 2018 01:01 UTC
Rosen RobertDirector · President
Exercise / conversionCommon Stock 95,531 $7.20 $687,823.20
Disclosure

SEC source: 0001209191-18-041384 · doc4.xml · nonDerivative · entry 5

Rosen Robert · CIK 0001555089 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,171

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan dated as of May 23, 2018.

Read SEC document
June 29, 2018 Filed Jul 4, 2018 01:01 UTC
Rosen RobertDirector · President
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 129,469 $0.00 Strike: $7.20 $0.00
Disclosure

SEC source: 0001209191-18-041384 · doc4.xml · derivative · entry 8

Rosen Robert · CIK 0001555089 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 695,531

Underlying: Common Stock · 129,469 shares

Expires 2023-05-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan dated as of May 23, 2018.

F7 · derivative.exercise_date: At the date of filing, 412,500 shares of the options granted pursuant to the underlying awards were fully vested and exercisable.

Read SEC document
June 29, 2018 Filed Jul 4, 2018 01:01 UTC
Rosen RobertDirector · President
SaleCommon Stock 2,112 $41.39 $87,415.47
Disclosure

SEC source: 0001209191-18-041384 · doc4.xml · nonDerivative · entry 4

Rosen Robert · CIK 0001555089 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,640

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan dated as of May 23, 2018.

F4 · price: The range of sales prices received was $41.075 to $41.45. Upon request by the SEC staff, the issuer, or any security holder of the issuer, full information will be provided regarding the number of shares purchased or sold at each separate price.

Read SEC document
June 29, 2018 Filed Jul 4, 2018 01:01 UTC
Rosen RobertDirector · President
SaleCommon Stock 51,696 $40.17 $2,076,597.30
Disclosure

SEC source: 0001209191-18-041384 · doc4.xml · nonDerivative · entry 3

Rosen Robert · CIK 0001555089 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,752

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan dated as of May 23, 2018.

F3 · price: The range of sales prices received was $39.775 to $40.70. Upon request by the SEC staff, the issuer, or any security holder of the issuer, full information will be provided regarding the number of shares purchased or sold at each separate price.

Read SEC document
June 29, 2018 Filed Jul 4, 2018 01:01 UTC
Rosen RobertDirector · President
SaleCommon Stock 75,661 $39.14 $2,961,121.86
Disclosure

SEC source: 0001209191-18-041384 · doc4.xml · nonDerivative · entry 2

Rosen Robert · CIK 0001555089 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,448

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan dated as of May 23, 2018.

F2 · price: The range of sales prices received was $38.75 to $39.75. Upon request by the SEC staff, the issuer, or any security holder of the issuer, full information will be provided regarding the number of shares purchased or sold at each separate price.

Read SEC document
June 29, 2018 Filed Jul 4, 2018 01:01 UTC
Rosen RobertDirector · President
Exercise / conversionCommon Stock 129,469 $7.20 $932,176.80
Disclosure

SEC source: 0001209191-18-041384 · doc4.xml · nonDerivative · entry 1

Rosen Robert · CIK 0001555089 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,109

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan dated as of May 23, 2018.

Read SEC document
June 21, 2018 Filed Jun 23, 2018 01:35 UTC
Quart Barry DDirector · Chief Executive Officer
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $9.05 $0.00
Disclosure

SEC source: 0001209191-18-039348 · doc4.xml · derivative · entry 4

Quart Barry D · CIK 0001384243 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 50,000 shares

Expires 2024-12-12

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan executed in December 2017.

F3 · derivative.exercise_date: The stock option vests and becomes exercisable in 48 equal monthly installments beginning one month after the date of grant (12/12/2014).

Read SEC document
June 21, 2018 Filed Jun 23, 2018 01:35 UTC
Quart Barry DDirector · Chief Executive Officer
SaleCommon Stock 50,000 $39.05 $1,952,500.00
Disclosure

SEC source: 0001209191-18-039348 · doc4.xml · nonDerivative · entry 3

Quart Barry D · CIK 0001384243 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,600

F2 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan executed in December 2017.

Read SEC document
June 21, 2018 Filed Jun 23, 2018 01:35 UTC
Quart Barry DDirector · Chief Executive Officer
Exercise / conversionCommon Stock 50,000 $9.05 $452,500.00
Disclosure

SEC source: 0001209191-18-039348 · doc4.xml · nonDerivative · entry 2

Quart Barry D · CIK 0001384243 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,600

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan executed in December 2017.

Read SEC document
April 30, 2018 Filed Jun 23, 2018 01:35 UTC
Quart Barry DDirector · Chief Executive Officer
OtherCommon Stock 1,607 $13.22 $21,240.52
Disclosure

SEC source: 0001209191-18-039348 · doc4.xml · nonDerivative · entry 1

Quart Barry D · CIK 0001384243 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,600

F1 · kind: Represents shares acquired under the Heron Therapeutics, Inc. 1997 Employee Stock Purchase Plan on April 30, 2018.

Read SEC document
April 30, 2018 Filed Jul 4, 2018 01:03 UTC
Hoffman Robert E.CFO & SVP, Finance
OtherCommon Stock 744 $13.22 $9,833.82
Disclosure

SEC source: 0001209191-18-041385 · doc4.xml · nonDerivative · entry 1

HOFFMAN ROBERT · CIK 0001166288 · CFO & SVP, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,280

F1 · kind: Represents shares acquired under the Heron Therapeutics, Inc. 1997 Employee Stock Purchase Plan on April 30, 2018.

Read SEC document
March 29, 2018 Filed Apr 2, 2018 20:01 UTC
TANG KEVINDirector · 10% owner
PurchaseCommon Stock 192,308 $26.00 $5,000,008.00
Disclosure

SEC source: 0001209191-18-022351 · doc4.xml · nonDerivative · entry 1

TANG KEVIN C · CIK 0001178579 · Director · 10% owner

TANG CAPITAL MANAGEMENT LLC · CIK 0001232621 · 10% owner

TANG CAPITAL PARTNERS LP · CIK 0001191935 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By LP

Disclosed balance after: 8,525,215

F1 · ownership.direct: The securities are held by Tang Capital Partners, LP and Tang (APPA) Holdings, LLC. Kevin C. Tang is the sole manager of Tang Capital Management, LLC, which is the general partner of Tang Capital Partners, LP. Tang Capital Partners, LP is the sole manager of Tang (APPA) Holdings, LLC.

F1 · ownership.nature: The securities are held by Tang Capital Partners, LP and Tang (APPA) Holdings, LLC. Kevin C. Tang is the sole manager of Tang Capital Management, LLC, which is the general partner of Tang Capital Partners, LP. Tang Capital Partners, LP is the sole manager of Tang (APPA) Holdings, LLC.

Read SEC document
March 19, 2018 Filed Mar 19, 2018 23:24 UTC
MANHARD KIMBERLYExecutive VP, Drug Development
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 18,000 $0.00 Strike: $13.00 $0.00
Disclosure

SEC source: 0001209191-18-020737 · doc4.xml · derivative · entry 3

MANHARD KIMBERLY · CIK 0001202094 · Executive VP, Drug Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,416

Underlying: Common Stock · 18,000 shares

Expires 2026-12-21

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan executed in March 2017.

F2 · derivative.exercise_date: The stock option vests and becomes exercisable in 48 equal monthly installments beginning one month after the date of grant (12/21/2016).

Read SEC document
March 19, 2018 Filed Mar 19, 2018 23:24 UTC
MANHARD KIMBERLYExecutive VP, Drug Development
SaleCommon Stock 18,000 $30.00 $540,000.00
Disclosure

SEC source: 0001209191-18-020737 · doc4.xml · nonDerivative · entry 2

MANHARD KIMBERLY · CIK 0001202094 · Executive VP, Drug Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan executed in March 2017.

Read SEC document
March 19, 2018 Filed Mar 19, 2018 23:24 UTC
MANHARD KIMBERLYExecutive VP, Drug Development
Exercise / conversionCommon Stock 18,000 $13.00 $234,000.00
Disclosure

SEC source: 0001209191-18-020737 · doc4.xml · nonDerivative · entry 1

MANHARD KIMBERLY · CIK 0001202094 · Executive VP, Drug Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan executed in March 2017.

Read SEC document
March 19, 2018 Filed Mar 19, 2018 23:22 UTC
Quart Barry DDirector · Chief Executive Officer
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 100,000 $0.00 Strike: $7.20 $0.00
Disclosure

SEC source: 0001209191-18-020736 · doc4.xml · derivative · entry 3

Quart Barry D · CIK 0001384243 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 730,276

Underlying: Common Stock · 100,000 shares

Expires 2023-05-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan executed in December 2017.

F2 · derivative.exercise_date: At the date of filing, 542,776 shares of the options granted pursuant to the underlying awards were fully vested and exercisable.

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March 19, 2018 Filed Mar 19, 2018 23:22 UTC
Quart Barry DDirector · Chief Executive Officer
SaleCommon Stock 100,000 $29.75 $2,975,000.00
Disclosure

SEC source: 0001209191-18-020736 · doc4.xml · nonDerivative · entry 2

Quart Barry D · CIK 0001384243 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,993

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan executed in December 2017.

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March 19, 2018 Filed Mar 19, 2018 23:22 UTC
Quart Barry DDirector · Chief Executive Officer
Exercise / conversionCommon Stock 100,000 $7.20 $720,000.00
Disclosure

SEC source: 0001209191-18-020736 · doc4.xml · nonDerivative · entry 1

Quart Barry D · CIK 0001384243 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,993

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan executed in December 2017.

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March 14, 2018 Filed Mar 17, 2018 01:00 UTC
Quart Barry DDirector · Chief Executive Officer
Exercise / conversionEmployee Stock Option(Right to Buy) · Derivative 100,000 $0.00 Strike: $7.20 $0.00
Disclosure

SEC source: 0000899243-18-007825 · doc4.xml · derivative · entry 3

Quart Barry D · CIK 0001384243 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 830,276

Underlying: Common Stock · 100,000 shares

Expires 2023-05-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan executed in December 2017.

F2 · derivative.exercise_date: At the date of filing, 642,776 shares of the options granted pursuant to the underlying awards were fully vested and exercisable.

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March 14, 2018 Filed Mar 17, 2018 01:00 UTC
Quart Barry DDirector · Chief Executive Officer
SaleCommon Stock 100,000 $24.75 $2,475,000.00
Disclosure

SEC source: 0000899243-18-007825 · doc4.xml · nonDerivative · entry 2

Quart Barry D · CIK 0001384243 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,993

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan executed in December 2017.

Read SEC document
March 14, 2018 Filed Mar 17, 2018 01:00 UTC
Quart Barry DDirector · Chief Executive Officer
Exercise / conversionCommon Stock 100,000 $7.20 $720,000.00
Disclosure

SEC source: 0000899243-18-007825 · doc4.xml · nonDerivative · entry 1

Quart Barry D · CIK 0001384243 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,993

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan executed in December 2017.

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January 10, 2018 Filed Jan 12, 2018 21:21 UTC
MANHARD KIMBERLYExecutive VP, Drug Development
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 7,584 $0.00 Strike: $13.00 $0.00
Disclosure

SEC source: 0001209191-18-003425 · doc4.xml · derivative · entry 3

MANHARD KIMBERLY · CIK 0001202094 · Executive VP, Drug Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,416

Underlying: Common Stock · 7,584 shares

Expires 2026-12-21

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan executed in March 2017.

F2 · derivative.exercise_date: The stock option vests and becomes exercisable in 48 equal monthly installments beginning one month after the date of grant (12/21/2016).

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January 10, 2018 Filed Jan 12, 2018 21:21 UTC
MANHARD KIMBERLYExecutive VP, Drug Development
SaleCommon Stock 7,584 $20.00 $151,680.00
Disclosure

SEC source: 0001209191-18-003425 · doc4.xml · nonDerivative · entry 2

MANHARD KIMBERLY · CIK 0001202094 · Executive VP, Drug Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan executed in March 2017.

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January 10, 2018 Filed Jan 12, 2018 21:21 UTC
MANHARD KIMBERLYExecutive VP, Drug Development
Exercise / conversionCommon Stock 7,584 $13.00 $98,592.00
Disclosure

SEC source: 0001209191-18-003425 · doc4.xml · nonDerivative · entry 1

MANHARD KIMBERLY · CIK 0001202094 · Executive VP, Drug Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,584

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The stock option exercise and sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan executed in March 2017.

Read SEC document
December 18, 2017 Filed Dec 20, 2017 21:18 UTC GrantStock Option (Right to Buy) · Derivative 17,000 $0.00 Strike: $17.00 $0.00
Disclosure

SEC source: 0001209191-17-066635 · doc4.xml · derivative · entry 1

Christian Waage · CIK 0001553179 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 17,000 shares

Expires 2027-12-18

F1 · derivative.exercise_date: The stock options vest and become exercisable in 12 equal monthly installments beginning one month after the date of grant.

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December 18, 2017 Filed Dec 20, 2017 21:16 UTC
TANG KEVINDirector · 10% owner
GrantStock Option (right to buy) · Derivative 17,000 $0.00 Strike: $17.00 $0.00
Disclosure

SEC source: 0001209191-17-066630 · doc4.xml · derivative · entry 1

TANG KEVIN C · CIK 0001178579 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 17,000 shares

Expires 2027-12-18

F1 · derivative.exercise_date: The stock option vests and becomes exercisable in 12 equal monthly installments beginning one month after the date of grant.

Read SEC document
December 18, 2017 Filed Dec 20, 2017 21:17 UTC GrantStock Option (Right to Buy) · Derivative 21,000 $0.00 Strike: $17.00 $0.00
Disclosure

SEC source: 0001209191-17-066632 · doc4.xml · derivative · entry 1

Johnson Craig A · CIK 0001370348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,000

Underlying: Common Stock · 21,000 shares

Expires 2027-12-18

F1 · derivative.exercise_date: The stock options vest and become exercisable in 12 equal monthly installments beginning one month after the date of grant.

Read SEC document
December 18, 2017 Filed Dec 20, 2017 21:18 UTC GrantStock Option (Right to Buy) · Derivative 19,500 $0.00 Strike: $17.00 $0.00
Disclosure

SEC source: 0001209191-17-066634 · doc4.xml · derivative · entry 1

POYHONEN JOHN · CIK 0001286100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,500

Underlying: Common Stock · 19,500 shares

Expires 2027-12-18

F1 · derivative.exercise_date: The stock options vest and become exercisable in 12 equal monthly installments beginning one month after the date of grant.

Read SEC document
December 18, 2017 Filed Dec 20, 2017 21:16 UTC
Rosen RobertDirector · President
GrantEmployee Stock Option (Right to Buy) · Derivative 310,000 $0.00 Strike: $17.00 $0.00
Disclosure

SEC source: 0001209191-17-066629 · doc4.xml · derivative · entry 1

Rosen Robert · CIK 0001555089 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 310,000

Underlying: Common Stock · 310,000 shares

Expires 2027-12-18

F1 · derivative.exercise_date: The stock option vests and becomes exercisable in 48 equal monthly installments beginning one month after the date of grant.

Read SEC document
December 18, 2017 Filed Dec 20, 2017 21:15 UTC
Quart Barry DDirector · Chief Executive Officer
GrantEmployee Stock Option (Right to Buy) · Derivative 310,000 $0.00 Strike: $17.00 $0.00
Disclosure

SEC source: 0001209191-17-066627 · doc4.xml · derivative · entry 2

Quart Barry D · CIK 0001384243 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 310,000

Underlying: Common Stock · 310,000 shares

Expires 2027-12-18

F2 · derivative.exercise_date: The stock option vests and becomes exercisable in 48 equal monthly installments beginning one month after the Date of Grant.

Read SEC document
December 18, 2017 Filed Dec 20, 2017 21:14 UTC
MANHARD KIMBERLYExecutive VP, Drug Development
GrantEmployee Stock Option (Right to Buy) · Derivative 120,000 $0.00 Strike: $17.00 $0.00
Disclosure

SEC source: 0001209191-17-066626 · doc4.xml · derivative · entry 1

MANHARD KIMBERLY · CIK 0001202094 · Executive VP, Drug Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires 2027-12-18

F1 · derivative.exercise_date: The stock option vests and becomes exercisable in 48 equal monthly installments beginning one month after the date of grant.

Read SEC document
December 18, 2017 Filed Dec 20, 2017 21:13 UTC
Hoffman Robert E.CFO & SVP, Finance
GrantEmployee Stock Option (Right to Buy) · Derivative 56,667 $0.00 Strike: $17.00 $0.00
Disclosure

SEC source: 0001209191-17-066625 · doc4.xml · derivative · entry 2

HOFFMAN ROBERT · CIK 0001166288 · CFO & SVP, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,667

Underlying: Common Stock · 56,667 shares

Expires 2027-12-18

F2 · derivative.exercise_date: The stock option vests and becomes exercisable in 48 equal monthly installments beginning one month after the date of grant.

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.