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PALATIN TECHNOLOGIES INC

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7649
SEC CIK
0000911216
Parsed reports
151

Last 12 months

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0 purchase rows · 1 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202500
Dec 202501
Jan 202600
Feb 202600
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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
June 04, 2024 Filed Jul 16, 2024 20:31 UTC
WILLS STEPHEN TExecutive VP and CFO/COO
GrantCommon Stock 7,051 $0.00 $0.00
Disclosure

SEC source: 0001654954-24-009000 · section16.xml · nonDerivative · entry 2

WILLS STEPHEN T · CIK 0001103883 · Executive VP and CFO/COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 303,687

F2 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 16, 2020, vested in part on June 4, 2024, upon certification by the Compensation Committee that a defined performance objective as to 85% of the target number of share units for the fiscal year ended June 30, 2024. The shares have not been issued as of the date of this Form 4, but will be issued on or before the 60th day following June 4, 2024.

F2 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 16, 2020, vested in part on June 4, 2024, upon certification by the Compensation Committee that a defined performance objective as to 85% of the target number of share units for the fiscal year ended June 30, 2024. The shares have not been issued as of the date of this Form 4, but will be issued on or before the 60th day following June 4, 2024.

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May 06, 2024 Filed Jul 16, 2024 20:31 UTC
SPANA CARLDirector · President and CEO
GrantStock Option (Right to Buy) · Derivative 21,993 $0.00 Strike: $2.19 $0.00
Disclosure

SEC source: 0001654954-24-009003 · section16.xml · derivative · entry 10

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 374,364

Underlying: Common Stock · 21,993 shares

Expires 2033-06-20

F10 · derivative.exercise_date: Performance-based stock options granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, upon payment of the exercise price, one share of common stock. The performance condition stock option grant, made June 20, 2023, vested in part on June 4, 2024, upon certification by the Compensation Committee that a defined performance objective as to 85% of the target number of share units for the fiscal year ended June 30, 2024.

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April 11, 2024 Filed Apr 11, 2024 20:45 UTC PurchaseCommon Stock 6,000 $2.12 $12,703.20
Disclosure

SEC source: 0001654954-24-004521 · section16.xml · nonDerivative · entry 1

DEVEER ROBERT K JR · CIK 0001158829 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,845

Read SEC document
March 06, 2024 Filed Mar 7, 2024 22:02 UTC SaleCommon Stock 155 $2.03 $314.65
Disclosure

SEC source: 0001654954-24-002817 · section16.xml · nonDerivative · entry 7

DEVEER ROBERT K JR · CIK 0001158829 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,845

Read SEC document
March 06, 2024 Filed Mar 7, 2024 22:02 UTC SaleCommon Stock 460 $2.02 $929.20
Disclosure

SEC source: 0001654954-24-002817 · section16.xml · nonDerivative · entry 6

DEVEER ROBERT K JR · CIK 0001158829 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Read SEC document
March 06, 2024 Filed Mar 7, 2024 22:02 UTC SaleCommon Stock 106 $2.01 $213.06
Disclosure

SEC source: 0001654954-24-002817 · section16.xml · nonDerivative · entry 5

DEVEER ROBERT K JR · CIK 0001158829 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,460

Read SEC document
March 06, 2024 Filed Mar 7, 2024 22:02 UTC SaleCommon Stock 1,808 $2.01 $3,634.08
Disclosure

SEC source: 0001654954-24-002817 · section16.xml · nonDerivative · entry 4

DEVEER ROBERT K JR · CIK 0001158829 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,566

Read SEC document
March 06, 2024 Filed Mar 7, 2024 22:02 UTC SaleCommon Stock 200 $2.00 $400.00
Disclosure

SEC source: 0001654954-24-002817 · section16.xml · nonDerivative · entry 3

DEVEER ROBERT K JR · CIK 0001158829 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,574

Read SEC document
March 06, 2024 Filed Mar 7, 2024 22:02 UTC SaleCommon Stock 7,286 $2.00 $14,572.73
Disclosure

SEC source: 0001654954-24-002817 · section16.xml · nonDerivative · entry 2

DEVEER ROBERT K JR · CIK 0001158829 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,574

Read SEC document
March 06, 2024 Filed Mar 7, 2024 22:02 UTC SaleCommon Stock 1,685 $2.00 $3,370.00
Disclosure

SEC source: 0001654954-24-002817 · section16.xml · nonDerivative · entry 1

DEVEER ROBERT K JR · CIK 0001158829 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,860

Read SEC document
December 06, 2023 Filed Dec 8, 2023 22:30 UTC
WILLS STEPHEN TExecutive VP and CFO/COO
SaleCommon Stock 2,191 $2.64 $5,784.24
Disclosure

SEC source: 0001654954-23-015301 · section16.xml · nonDerivative · entry 2

WILLS STEPHEN T · CIK 0001103883 · Executive VP and CFO/COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 327,522

F1 · shares: Sales made for tax and estate planning purposes.

Read SEC document
December 06, 2023 Filed Dec 8, 2023 22:30 UTC
WILLS STEPHEN TExecutive VP and CFO/COO
SaleCommon Stock 2,807 $2.42 $6,778.91
Disclosure

SEC source: 0001654954-23-015301 · section16.xml · nonDerivative · entry 1

WILLS STEPHEN T · CIK 0001103883 · Executive VP and CFO/COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 329,713

F1 · shares: Sales made for tax and estate planning purposes.

Read SEC document
December 04, 2023 Filed Dec 6, 2023 22:02 UTC SaleCommon Stock 1 $2.46 $2.46
Disclosure

SEC source: 0001654954-23-015219 · section16.xml · nonDerivative · entry 2

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,074

Read SEC document
December 04, 2023 Filed Dec 6, 2023 22:02 UTC SaleCommon Stock 199 $2.48 $493.52
Disclosure

SEC source: 0001654954-23-015219 · section16.xml · nonDerivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,075

Read SEC document
August 15, 2023 Filed Aug 17, 2023 01:01 UTC
SPANA CARLDirector · President and CEO
Tax withholdingCommon Stock 698 $2.17 $1,514.66
Disclosure

SEC source: 0001654954-23-010939 · section16.xml · nonDerivative · entry 8

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 366,303

F1 · shares: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F9 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 24, 2023, the date of vesting. The grant and vesting of the underlying 1,937 restricted share units was reported on Form 4 filed on June 22, 2023, with a transaction date of June 20, 2023.

F1 · price: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F9 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 24, 2023, the date of vesting. The grant and vesting of the underlying 1,937 restricted share units was reported on Form 4 filed on June 22, 2023, with a transaction date of June 20, 2023.

Read SEC document
August 15, 2023 Filed Aug 17, 2023 01:01 UTC
SPANA CARLDirector · President and CEO
Tax withholdingCommon Stock 851 $2.17 $1,846.67
Disclosure

SEC source: 0001654954-23-010939 · section16.xml · nonDerivative · entry 7

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 367,001

F1 · shares: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F8 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 24, 2023, the date of vesting. The grant of the underlying 2,360 time-based restricted share units which vested on June 24, 2023 was reported on Form 4 filed on June 26, 2019.

F1 · price: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F8 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 24, 2023, the date of vesting. The grant of the underlying 2,360 time-based restricted share units which vested on June 24, 2023 was reported on Form 4 filed on June 26, 2019.

Read SEC document
August 15, 2023 Filed Aug 17, 2023 01:01 UTC
SPANA CARLDirector · President and CEO
Tax withholdingCommon Stock 1,025 $2.24 $2,296.00
Disclosure

SEC source: 0001654954-23-010939 · section16.xml · nonDerivative · entry 6

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 367,852

F7 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 22, 2023, the date of vesting. The grant and vesting of the underlying 2,844 restricted share units was reported on Form 4 filed on June 22, 2023, with a transaction date of June 20, 2023.

F7 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 22, 2023, the date of vesting. The grant and vesting of the underlying 2,844 restricted share units was reported on Form 4 filed on June 22, 2023, with a transaction date of June 20, 2023.

Read SEC document
August 15, 2023 Filed Aug 17, 2023 01:01 UTC
SPANA CARLDirector · President and CEO
Tax withholdingCommon Stock 1,640 $2.24 $3,673.60
Disclosure

SEC source: 0001654954-23-010939 · section16.xml · nonDerivative · entry 5

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 368,877

F1 · shares: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F6 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 22, 2023, the date of vesting. The grant of the underlying 4,550 time-based restricted share units, which vested on June 22, 2023, was reported on Form 4 filed on June 28, 2022.

F1 · price: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F6 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 22, 2023, the date of vesting. The grant of the underlying 4,550 time-based restricted share units, which vested on June 22, 2023, was reported on Form 4 filed on June 28, 2022.

Read SEC document
August 15, 2023 Filed Aug 17, 2023 01:01 UTC
SPANA CARLDirector · President and CEO
Tax withholdingCommon Stock 1,280 $2.24 $2,867.20
Disclosure

SEC source: 0001654954-23-010939 · section16.xml · nonDerivative · entry 4

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 370,517

F5 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 22, 2023, the date of vesting. The grant and vesting of the underlying 3,551 restricted share units was reported on Form 4 filed on June 22, 2023, with a transaction date of June 20, 2023.

F5 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 22, 2023, the date of vesting. The grant and vesting of the underlying 3,551 restricted share units was reported on Form 4 filed on June 22, 2023, with a transaction date of June 20, 2023.

Read SEC document
August 15, 2023 Filed Aug 17, 2023 01:01 UTC
SPANA CARLDirector · President and CEO
Tax withholdingCommon Stock 2,540 $2.24 $5,689.60
Disclosure

SEC source: 0001654954-23-010939 · section16.xml · nonDerivative · entry 3

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 371,797

F1 · shares: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F4 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 22, 2023, the date of vesting. The grant of the underlying 7,045 time-based restricted share units, which vested on June 22, 2023, was reported on Form 4 filed on June 24, 2021.

F1 · price: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F4 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 22, 2023, the date of vesting. The grant of the underlying 7,045 time-based restricted share units, which vested on June 22, 2023, was reported on Form 4 filed on June 24, 2021.

Read SEC document
August 15, 2023 Filed Aug 17, 2023 01:01 UTC
SPANA CARLDirector · President and CEO
Tax withholdingCommon Stock 1,901 $2.19 $4,163.19
Disclosure

SEC source: 0001654954-23-010939 · section16.xml · nonDerivative · entry 2

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 374,337

F3 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 16, 2023, the date of vesting. The grant and vesting of the underlying 5,273 restricted share units was reported on Form 4 filed on June 22, 2023, with a transaction date of June 20, 2023.

F3 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 16, 2023, the date of vesting. The grant and vesting of the underlying 5,273 restricted share units was reported on Form 4 filed on June 22, 2023, with a transaction date of June 20, 2023.

Read SEC document
August 15, 2023 Filed Aug 17, 2023 01:01 UTC
SPANA CARLDirector · President and CEO
Tax withholdingCommon Stock 2,331 $2.19 $5,104.89
Disclosure

SEC source: 0001654954-23-010939 · section16.xml · nonDerivative · entry 1

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 376,238

F1 · shares: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F2 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 16, 2023, the date of vesting. The grant of the underlying 6,465 time-based restricted share units, which vested on June 16, 2023, was reported on Form 4 filed on June 18, 2020 as to one half of the total grant, and on Form 4 filed on June 26, 2020 as to the remaining one half, which had been granted contingent on increasing the shares reserved for grant under the 2011 Stock Incentive Plan, which was approved the stockholders at a meeting on June 25, 2020.

F1 · price: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F2 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 16, 2023, the date of vesting. The grant of the underlying 6,465 time-based restricted share units, which vested on June 16, 2023, was reported on Form 4 filed on June 18, 2020 as to one half of the total grant, and on Form 4 filed on June 26, 2020 as to the remaining one half, which had been granted contingent on increasing the shares reserved for grant under the 2011 Stock Incentive Plan, which was approved the stockholders at a meeting on June 25, 2020.

Read SEC document
August 15, 2023 Filed Aug 17, 2023 01:00 UTC
WILLS STEPHEN TExecutive VP and CFO/COO
Tax withholdingCommon Stock 455 $2.17 $987.35
Disclosure

SEC source: 0001654954-23-010938 · section16.xml · nonDerivative · entry 8

WILLS STEPHEN T · CIK 0001103883 · Executive VP and CFO/COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 332,520

F1 · shares: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F9 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 24, 2023, the date of vesting. The grant and vesting of the underlying 1,658 restricted share units was reported on Form 4 filed on June 22, 2023, with a transaction date of June 20, 2023.

F1 · price: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F9 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 24, 2023, the date of vesting. The grant and vesting of the underlying 1,658 restricted share units was reported on Form 4 filed on June 22, 2023, with a transaction date of June 20, 2023.

Read SEC document
August 15, 2023 Filed Aug 17, 2023 01:00 UTC
WILLS STEPHEN TExecutive VP and CFO/COO
Tax withholdingCommon Stock 554 $2.17 $1,202.18
Disclosure

SEC source: 0001654954-23-010938 · section16.xml · nonDerivative · entry 7

WILLS STEPHEN T · CIK 0001103883 · Executive VP and CFO/COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 332,975

F1 · shares: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F8 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 24, 2023, the date of vesting. The grant of the underlying 2,020 time-based restricted share units which vested on June 24, 2023 was reported on Form 4 filed on June 26, 2019.

F1 · price: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F8 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 24, 2023, the date of vesting. The grant of the underlying 2,020 time-based restricted share units which vested on June 24, 2023 was reported on Form 4 filed on June 26, 2019.

Read SEC document
August 15, 2023 Filed Aug 17, 2023 01:00 UTC
WILLS STEPHEN TExecutive VP and CFO/COO
Tax withholdingCommon Stock 677 $2.24 $1,516.48
Disclosure

SEC source: 0001654954-23-010938 · section16.xml · nonDerivative · entry 6

WILLS STEPHEN T · CIK 0001103883 · Executive VP and CFO/COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 333,529

F7 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 22, 2023, the date of vesting. The grant and vesting of the underlying 2,469 restricted share units was reported on Form 4 filed on June 22, 2023, with a transaction date of June 20, 2023.

F7 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 22, 2023, the date of vesting. The grant and vesting of the underlying 2,469 restricted share units was reported on Form 4 filed on June 22, 2023, with a transaction date of June 20, 2023.

Read SEC document
August 15, 2023 Filed Aug 17, 2023 01:00 UTC
WILLS STEPHEN TExecutive VP and CFO/COO
Tax withholdingCommon Stock 1,083 $2.24 $2,425.92
Disclosure

SEC source: 0001654954-23-010938 · section16.xml · nonDerivative · entry 5

WILLS STEPHEN T · CIK 0001103883 · Executive VP and CFO/COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 334,206

F1 · shares: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F6 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 22, 2023, the date of vesting. The grant of the underlying 3,950 time-based restricted share units, which vested on June 22, 2023, was reported on Form 4 filed on June 28, 2022.

F1 · price: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F6 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 22, 2023, the date of vesting. The grant of the underlying 3,950 time-based restricted share units, which vested on June 22, 2023, was reported on Form 4 filed on June 28, 2022.

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August 15, 2023 Filed Aug 17, 2023 01:00 UTC
WILLS STEPHEN TExecutive VP and CFO/COO
Tax withholdingCommon Stock 876 $2.24 $1,962.24
Disclosure

SEC source: 0001654954-23-010938 · section16.xml · nonDerivative · entry 4

WILLS STEPHEN T · CIK 0001103883 · Executive VP and CFO/COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 335,289

F5 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 22, 2023, the date of vesting. The grant and vesting of the underlying 3,196 restricted share units was reported on Form 4 filed on June 22, 2023, with a transaction date of June 20, 2023.

F5 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 22, 2023, the date of vesting. The grant and vesting of the underlying 3,196 restricted share units was reported on Form 4 filed on June 22, 2023, with a transaction date of June 20, 2023.

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August 15, 2023 Filed Aug 17, 2023 01:00 UTC
WILLS STEPHEN TExecutive VP and CFO/COO
Tax withholdingCommon Stock 1,670 $2.24 $3,740.80
Disclosure

SEC source: 0001654954-23-010938 · section16.xml · nonDerivative · entry 3

WILLS STEPHEN T · CIK 0001103883 · Executive VP and CFO/COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 336,165

F1 · shares: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F4 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 22, 2023, the date of vesting. The grant of the underlying 6,090 time-based restricted share units, which vested on June 22, 2023, was reported on Form 4 filed on June 24, 2021.

F1 · price: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F4 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 22, 2023, the date of vesting. The grant of the underlying 6,090 time-based restricted share units, which vested on June 22, 2023, was reported on Form 4 filed on June 24, 2021.

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August 15, 2023 Filed Aug 17, 2023 01:00 UTC
WILLS STEPHEN TExecutive VP and CFO/COO
Tax withholdingCommon Stock 1,246 $2.19 $2,728.74
Disclosure

SEC source: 0001654954-23-010938 · section16.xml · nonDerivative · entry 2

WILLS STEPHEN T · CIK 0001103883 · Executive VP and CFO/COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 337,835

F3 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 16, 2023, the date of vesting. The grant and vesting of the underlying 4,543 restricted share units was reported on Form 4 filed on June 22, 2023, with a transaction date of June 20, 2023.

F3 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 16, 2023, the date of vesting. The grant and vesting of the underlying 4,543 restricted share units was reported on Form 4 filed on June 22, 2023, with a transaction date of June 20, 2023.

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August 15, 2023 Filed Aug 17, 2023 01:00 UTC
WILLS STEPHEN TExecutive VP and CFO/COO
Tax withholdingCommon Stock 1,527 $2.19 $3,344.13
Disclosure

SEC source: 0001654954-23-010938 · section16.xml · nonDerivative · entry 1

WILLS STEPHEN T · CIK 0001103883 · Executive VP and CFO/COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 339,081

F1 · shares: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F2 · shares: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 16, 2023, the date of vesting. The grant of the underlying 5,570 time-based restricted share units, which vested on June 16, 2023, was reported on Form 4 filed on June 18, 2020 as to one half of the total grant, and on Form 4 filed on June 26, 2020 as to the remaining one half, which had been granted contingent on increasing the shares reserved for grant under the 2011 Stock Incentive Plan, which was approved the stockholders at a meeting on June 25, 2020.

F1 · price: A certificate of amendment of the articles of incorporation of Palatin Technologies for a 1-for-25 reverse stock split of issued and outstanding common stock (the "Reverse Stock Split") was effective as of 5:00 p.m. Eastern Time on August 30, 2022 (the "Effective Date"). All share and per share numbers herein, including common stock and awards made or vested prior to the Effective Date, have been adjusted to give effect to the Reverse Stock Split.

F2 · price: Shares withheld by the issuer, on election of the Reporting Person with the consent of the issuer, to pay employee withholding taxes. Such taxes were withheld and reported for the payroll in the period ended August 15, 2023, with the per share value determined as of June 16, 2023, the date of vesting. The grant of the underlying 5,570 time-based restricted share units, which vested on June 16, 2023, was reported on Form 4 filed on June 18, 2020 as to one half of the total grant, and on Form 4 filed on June 26, 2020 as to the remaining one half, which had been granted contingent on increasing the shares reserved for grant under the 2011 Stock Incentive Plan, which was approved the stockholders at a meeting on June 25, 2020.

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July 15, 2023 Filed Jul 16, 2024 20:31 UTC GrantStock Option (Right to Buy) · Derivative 17,000 $0.00 Strike: $1.83 $0.00
Disclosure

SEC source: 0001654954-24-009002 · section16.xml · derivative · entry 2

Hull Joseph Stanley · CIK 0001338384 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,780

Underlying: Common Stock · 17,000 shares

Expires 2034-06-04

F2 · derivative.exercise_date: The option vests on June 4, 2025, and in the event that the director does not serve until June 30, 2025, is prorated based on the period of service at the rate of 1/12 per month on the last day of each month, starting on July 31, 2024. The options were granted by the Compensation Committee on June 4, 2024, which grant was subject to certification by the Chief Financial Officer that the shareholders had increased the shares reserved under the 2011 Stock Incentive Plan, and that there were no impediments to the grant of the options. The required certification was made on July 15, 2024.

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July 15, 2023 Filed Jul 16, 2024 20:31 UTC GrantStock Option (Right to Buy) · Derivative 17,000 $0.00 Strike: $1.83 $0.00
Disclosure

SEC source: 0001654954-24-008999 · section16.xml · derivative · entry 2

Manning Anthony M. · CIK 0001716468 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,280

Underlying: Common Stock · 17,000 shares

Expires 2034-06-04

F2 · derivative.exercise_date: The option vests on June 4, 2025, and in the event that the director does not serve until June 30, 2025, is prorated based on the period of service at the rate of 1/12 per month on the last day of each month, starting on July 31, 2024. The options were granted by the Compensation Committee on June 4, 2024, which grant was subject to certification by the Chief Financial Officer that the shareholders had increased the shares reserved under the 2011 Stock Incentive Plan, and that there were no impediments to the grant of the options. The required certification was made on July 15, 2024.

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July 15, 2023 Filed Jul 16, 2024 20:31 UTC GrantStock Option (Right to Buy) · Derivative 17,000 $0.00 Strike: $1.83 $0.00
Disclosure

SEC source: 0001654954-24-008998 · section16.xml · derivative · entry 2

Morris Arlene · CIK 0001362520 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,180

Underlying: Common Stock · 17,000 shares

Expires 2034-06-04

F2 · derivative.exercise_date: The option vests on June 4, 2025, and in the event that the director does not serve until June 30, 2025, is prorated based on the period of service at the rate of 1/12 per month on the last day of each month, starting on July 31, 2024. The options were granted by the Compensation Committee on June 4, 2024, which grant was subject to certification by the Chief Financial Officer that the shareholders had increased the shares reserved under the 2011 Stock Incentive Plan, and that there were no impediments to the grant of the options. The required certification was made on July 15, 2024.

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June 20, 2023 Filed Jun 22, 2023 21:00 UTC GrantStock Option (Right to Buy) · Derivative 16,000 $0.00 Strike: $2.19 $0.00
Disclosure

SEC source: 0001654954-23-008310 · section16.xml · derivative · entry 2

Manning Anthony M. · CIK 0001716468 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2033-06-20

F2 · derivative.exercise_date: The option vests on June 30, 2024, and in the event that the director does not serve until June 30, 2024, is prorated based on the period of service at the rate of 1/12 per month on the last day of each month, starting on July 31, 2023.

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June 20, 2023 Filed Jun 22, 2023 21:00 UTC GrantCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001654954-23-008310 · section16.xml · nonDerivative · entry 1

Manning Anthony M. · CIK 0001716468 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,693

F1 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 20, 2024.

F1 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 20, 2024.

Read SEC document
June 20, 2023 Filed Jun 22, 2023 21:00 UTC GrantStock Option (Right to Buy) · Derivative 16,000 $0.00 Strike: $2.19 $0.00
Disclosure

SEC source: 0001654954-23-008313 · section16.xml · derivative · entry 2

DEVEER ROBERT K JR · CIK 0001158829 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2033-06-20

F2 · derivative.exercise_date: The option vests on June 30, 2024, and in the event that the director does not serve until June 30, 2024, is prorated based on the period of service at the rate of 1/12 per month on the last day of each month, starting on July 31, 2023.

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June 20, 2023 Filed Jun 22, 2023 21:00 UTC GrantCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001654954-23-008313 · section16.xml · nonDerivative · entry 1

DEVEER ROBERT K JR · CIK 0001158829 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,078

F1 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 20, 2024.

F1 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 20, 2024.

Read SEC document
June 20, 2023 Filed Jun 22, 2023 21:00 UTC GrantStock Option (Right to Buy) · Derivative 16,000 $0.00 Strike: $2.19 $0.00
Disclosure

SEC source: 0001654954-23-008311 · section16.xml · derivative · entry 2

Hull Joseph Stanley · CIK 0001338384 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2033-06-20

F2 · derivative.exercise_date: The option vests on June 30, 2024, and in the event that the director does not serve until June 30, 2024, is prorated based on the period of service at the rate of 1/12 per month on the last day of each month, starting on July 31, 2023.

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June 20, 2023 Filed Jun 22, 2023 21:00 UTC GrantCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001654954-23-008311 · section16.xml · nonDerivative · entry 1

Hull Joseph Stanley · CIK 0001338384 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,585

F1 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 20, 2024.

F1 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 20, 2024.

Read SEC document
June 20, 2023 Filed Jun 22, 2023 21:00 UTC GrantStock Option (Right to Buy) · Derivative 16,000 $0.00 Strike: $2.19 $0.00
Disclosure

SEC source: 0001654954-23-008312 · section16.xml · derivative · entry 2

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2033-06-20

F2 · derivative.exercise_date: The option vests on June 30, 2024, and in the event that the director does not serve until June 30, 2024, is prorated based on the period of service at the rate of 1/12 per month on the last day of each month, starting on July 31, 2023.

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June 20, 2023 Filed Jun 22, 2023 21:00 UTC GrantCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001654954-23-008312 · section16.xml · nonDerivative · entry 1

DUNTON ALAN W · CIK 0001304773 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,807

F1 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 20, 2024.

F1 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 20, 2024.

Read SEC document
June 20, 2023 Filed Jun 22, 2023 21:00 UTC GrantStock Option (Right to Buy) · Derivative 22,000 $0.00 Strike: $2.19 $0.00
Disclosure

SEC source: 0001654954-23-008308 · section16.xml · derivative · entry 2

PRENDERGAST JOHN K A · CIK 0001042019 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,000

Underlying: Common Stock · 22,000 shares

Expires 2033-06-20

F2 · derivative.exercise_date: The option vests on June 30, 2024, and in the event that the director does not serve until June 30, 2024, is prorated based on the period of service at the rate of 1/12 per month on the last day of each month, starting on July 31, 2023.

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June 20, 2023 Filed Jun 22, 2023 21:00 UTC GrantCommon Stock 13,000 $0.00 $0.00
Disclosure

SEC source: 0001654954-23-008308 · section16.xml · nonDerivative · entry 1

PRENDERGAST JOHN K A · CIK 0001042019 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 76,823

F1 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 20, 2024.

F1 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The restricted share units vest on June 20, 2024.

Read SEC document
June 20, 2023 Filed Jun 22, 2023 21:00 UTC
SPANA CARLDirector · President and CEO
GrantStock Option (Right to Buy) · Derivative 4,231 $0.00 Strike: $7.25 $0.00
Disclosure

SEC source: 0001654954-23-008309 · section16.xml · derivative · entry 9

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,231 shares

Expires 2032-06-22

F9 · derivative.exercise_date: Stock options granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, upon payment of the exercise price, one share of common stock. The performance condition stock option grant, made June 22, 2022, vested in part on June 20, 2023, upon certification by the Compensation Committee that a defined performance objective as to 63% of the target number of stock option shares for the fiscal year ending June 30, 2023 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in commercialization of Vyleesi. All share numbers in this Form 4 give effect to a 1-for-25 reverse split of issued and outstanding common stock effective on August 30, 2022.

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June 20, 2023 Filed Jun 22, 2023 21:00 UTC
SPANA CARLDirector · President and CEO
GrantStock Option (Right to Buy) · Derivative 8,984 $0.00 Strike: $13.75 $0.00
Disclosure

SEC source: 0001654954-23-008309 · section16.xml · derivative · entry 8

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,984 shares

Expires 2031-06-22

F8 · derivative.exercise_date: Stock options granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, upon payment of the exercise price, one share of common stock. The performance condition stock option grant, made June 22, 2021, vested in part on June 20, 2023, upon certification by the Compensation Committee that a defined performance objective as to 63% of the target number of stock option shares for the fiscal year ending June 30, 2023 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in commercialization of Vyleesi. All share numbers in this Form 4 give effect to a 1-for-25 reverse split of issued and outstanding common stock effective on August 30, 2022.

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June 20, 2023 Filed Jun 22, 2023 21:00 UTC
SPANA CARLDirector · President and CEO
GrantStock Option (Right to Buy) · Derivative 8,739 $0.00 Strike: $14.50 $0.00
Disclosure

SEC source: 0001654954-23-008309 · section16.xml · derivative · entry 7

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,739 shares

Expires 2030-06-16

F7 · derivative.exercise_date: Stock options granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, upon payment of the exercise price, one share of common stock. The performance condition stock option grant, made June 16, 2020, vested in part on June 20, 2023, upon certification by the Compensation Committee that a defined performance objective as to 63% of the target number of stock option shares for the fiscal year ending June 30, 2023 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in commercialization of Vyleesi. All share numbers in this Form 4 give effect to a 1-for-25 reverse split of issued and outstanding common stock effective on August 30, 2022.

Read SEC document
June 20, 2023 Filed Jun 22, 2023 21:00 UTC
SPANA CARLDirector · President and CEO
GrantStock Option (Right to Buy) · Derivative 103,500 $0.00 Strike: $2.19 $0.00
Disclosure

SEC source: 0001654954-23-008309 · section16.xml · derivative · entry 6

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 103,500 shares

Expires 2033-06-22

F6 · derivative.exercise_date: The options vest at the rate of 25% per year, with the initial vesting on June 20, 2024.

Read SEC document
June 20, 2023 Filed Jun 22, 2023 21:00 UTC
SPANA CARLDirector · President and CEO
GrantCommon Stock 2,844 $0.00 $0.00
Disclosure

SEC source: 0001654954-23-008309 · section16.xml · nonDerivative · entry 5

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 378,568

F5 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 22, 2022, vested in part on June 20, 2023, upon certification by the Compensation Committee that a defined performance objective as to 63% of the target number of share units for the fiscal year ending June 30, 2023 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in commercialization of Vyleesi. All share numbers in this Form 4 give effect to a 1-for-25 reverse split of issued and outstanding common stock effective on August 30, 2022.

F5 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 22, 2022, vested in part on June 20, 2023, upon certification by the Compensation Committee that a defined performance objective as to 63% of the target number of share units for the fiscal year ending June 30, 2023 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in commercialization of Vyleesi. All share numbers in this Form 4 give effect to a 1-for-25 reverse split of issued and outstanding common stock effective on August 30, 2022.

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June 20, 2023 Filed Jun 22, 2023 21:00 UTC
SPANA CARLDirector · President and CEO
GrantCommon Stock 3,551 $0.00 $0.00
Disclosure

SEC source: 0001654954-23-008309 · section16.xml · nonDerivative · entry 4

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 375,724

F4 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 22, 2021, vested in part on June 20, 2023, upon certification by the Compensation Committee that a defined performance objective as to 63% of the target number of share units for the fiscal year ending June 30, 2023 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in commercialization of Vyleesi. All share numbers in this Form 4 give effect to a 1-for-25 reverse split of issued and outstanding common stock effective on August 30, 2022.

F4 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 22, 2021, vested in part on June 20, 2023, upon certification by the Compensation Committee that a defined performance objective as to 63% of the target number of share units for the fiscal year ending June 30, 2023 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in commercialization of Vyleesi. All share numbers in this Form 4 give effect to a 1-for-25 reverse split of issued and outstanding common stock effective on August 30, 2022.

Read SEC document
June 20, 2023 Filed Jun 22, 2023 21:00 UTC
SPANA CARLDirector · President and CEO
GrantCommon Stock 5,273 $0.00 $0.00
Disclosure

SEC source: 0001654954-23-008309 · section16.xml · nonDerivative · entry 3

SPANA CARL · CIK 0001042011 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 372,173

F3 · shares: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 16, 2020, vested in part on June 20, 2023, upon certification by the Compensation Committee that a defined performance objective as to 63% of the target number of share units for the fiscal year ending June 30, 2020 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in commercialization of Vyleesi. All share numbers in this Form 4 give effect to a 1-for-25 reverse split of issued and outstanding common stock effective on August 30, 2022.

F3 · price: Restricted share units granted under the 2011 Stock Incentive Plan, each of which represents the right to receive, without further payment, one share of common stock. The performance condition grant, made June 16, 2020, vested in part on June 20, 2023, upon certification by the Compensation Committee that a defined performance objective as to 63% of the target number of share units for the fiscal year ending June 30, 2020 had been achieved, based on performance criteria relating to advancement of melanocortin receptor-1 programs, including initiation of clinical trials, and progress in commercialization of Vyleesi. All share numbers in this Form 4 give effect to a 1-for-25 reverse split of issued and outstanding common stock effective on August 30, 2022.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.