Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BIOVIE INC.BIVI · Entity 7702 | Director | November 09, 2023 | December 06, 2023 |
| ImmunityBio, Inc.NK · Entity 3618 | Director | June 10, 2020 | June 11, 2020 |
| Innoveren Scientific, Inc.MDVX · Entity 95079 | Director within last 90 days | October 30, 2017 | November 01, 2017 |
| Ontrak, Inc.CATS · Entity 78207 | Director | June 15, 2018 | June 18, 2018 |
| POLARITYTE, INC.PTE · Entity 117561 | Director | August 06, 2019 | August 08, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
BIOVIE INC.
Report date November 09, 2023 · Filed December 06, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 46,358 |
Ending reported balance
After 2023-12-01 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2023-11-09 · Grant · Acquired 46,358 · Balance 122,038 F1: The restricted stock unit ("RSU") grant was approved by the compensation committee of the issuer's board of directors on September 22, 2023, subject to board approval, which was obtained on November 9, 2023. Each RSU represents a contingent right to receive one share of the issuer's Class A common stock. The RSUs vest in four equal installments beginning on February 9, 2024, with the remaining installments vesting on May 9, 2024, August 9, 2024 and the earlier of November 9, 2024 or the date of the issuer's 2024 annual shareholders' meeting. Row 2 · 2023-12-01 · Sale · Disposed 75,680 · Balance 46,358 |
Filing footnotes · ownership attribution and instrument terms
F1: The restricted stock unit ("RSU") grant was approved by the compensation committee of the issuer's board of directors on September 22, 2023, subject to board approval, which was obtained on November 9, 2023. Each RSU represents a contingent right to receive one share of the issuer's Class A common stock. The RSUs vest in four equal installments beginning on February 9, 2024, with the remaining installments vesting on May 9, 2024, August 9, 2024 and the earlier of November 9, 2024 or the date of the issuer's 2024 annual shareholders' meeting.
ImmunityBio, Inc.
Report date June 10, 2020 · Filed June 11, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.21 · Expires 2030-06-10 | Direct | 100,000 |
Reported balance
After 2020-06-10 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-06-10 · Grant · Acquired 100,000 · Balance 100,000 F1: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through such applicable vesting date, one hundred percent (100%) of the shares subject to the award will vest on the earlier to occur of June 10, 2021 or the date immediately preceding the 2021 annual meeting of stockholders. |
Filing footnotes · ownership attribution and instrument terms
F1: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through such applicable vesting date, one hundred percent (100%) of the shares subject to the award will vest on the earlier to occur of June 10, 2021 or the date immediately preceding the 2021 annual meeting of stockholders.
Innoveren Scientific, Inc.
Report date October 30, 2017 · Filed November 01, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,640,704 |
Reported balance
After 2017-10-30 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2017-10-30 · Grant · Acquired 10,684 · Balance 1,640,704 F1: The Reporting Person was granted 10,684 shares of common stock in lieu of cash fees that were due to the Reporting Person as of September 30, 2017 for his board services. The number of shares issued is based on the accrued but unpaid director fees owed to the Reporting Person during the nine months ended 2017, divided by the average closing price of the Issuer's common stock during the nine months ended 2017. F2: Includes 125,000 shares held by Mr. Gorlin's spouse, Deborah Gorlin. Mr. Gorlin disclaims beneficial ownership of Deborah Gorlin's shares. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person was granted 10,684 shares of common stock in lieu of cash fees that were due to the Reporting Person as of September 30, 2017 for his board services. The number of shares issued is based on the accrued but unpaid director fees owed to the Reporting Person during the nine months ended 2017, divided by the average closing price of the Issuer's common stock during the nine months ended 2017.
F2: Includes 125,000 shares held by Mr. Gorlin's spouse, Deborah Gorlin. Mr. Gorlin disclaims beneficial ownership of Deborah Gorlin's shares.
Ontrak, Inc.
Report date June 15, 2018 · Filed June 18, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Spouse | 100,000 |
Last balance in matching sequence
After 2018-06-15 transaction · row 6
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
6 source rowsRow 1 · 2018-06-15 · Purchase · Acquired 300 · Balance 95,535 F1: The reporting person disclaims beneficial ownership of these securities. Row 2 · 2018-06-15 · Purchase · Acquired 100 · Balance 95,635 F1: The reporting person disclaims beneficial ownership of these securities. Row 3 · 2018-06-15 · Purchase · Acquired 1,550 · Balance 97,185 F1: The reporting person disclaims beneficial ownership of these securities. Row 4 · 2018-06-15 · Purchase · Acquired 300 · Balance 97,485 F1: The reporting person disclaims beneficial ownership of these securities. Row 5 · 2018-06-15 · Purchase · Acquired 2,300 · Balance 99,785 F1: The reporting person disclaims beneficial ownership of these securities. Row 6 · 2018-06-15 · Purchase · Acquired 215 · Balance 100,000 F1: The reporting person disclaims beneficial ownership of these securities. |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person disclaims beneficial ownership of these securities.
POLARITYTE, INC.
Report date August 06, 2019 · Filed August 08, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 31,018 |
Reported balance
After 2019-08-06 transaction · row 1
1 source rowRow 1 · 2019-08-06 · Grant · Acquired 29,718 · Balance 31,018 |
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 01, 2023 Filed Dec 6, 2023 16:16 UTC | BIOVIE INC. BIVI · Entity 7702 | SaleCommon Stock | 75,680 | $1.69 | $127,899.20 |
DisclosureSEC source: 0001520138-23-000534 · ownership.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 46,358 Read SEC document |
| November 09, 2023 Filed Dec 6, 2023 16:16 UTC | BIOVIE INC. BIVI · Entity 7702 | GrantCommon Stock | 46,358 | $0.00 | $0.00 |
DisclosureSEC source: 0001520138-23-000534 · ownership.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 122,038 F1 · date: The restricted stock unit ("RSU") grant was approved by the compensation committee of the issuer's board of directors on September 22, 2023, subject to board approval, which was obtained on November 9, 2023. Each RSU represents a contingent right to receive one share of the issuer's Class A common stock. The RSUs vest in four equal installments beginning on February 9, 2024, with the remaining installments vesting on May 9, 2024, August 9, 2024 and the earlier of November 9, 2024 or the date of the issuer's 2024 annual shareholders' meeting. Read SEC document |
| September 05, 2023 Filed Sep 7, 2023 18:20 UTC | BIOVIE INC. BIVI · Entity 7702 | SaleCommon Stock | 8,560 | $3.05 | $26,108.00 |
DisclosureSEC source: 0001520138-23-000371 · ownership.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 75,680 Read SEC document |
| November 23, 2022 Filed Jan 18, 2023 16:32 UTC | BIOVIE INC. BIVI · Entity 7702 | GrantCOMMON STOCK | 34,240 | $0.00 | $0.00 |
DisclosureSEC source: 0001520138-23-000061 · ownership.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,240 Read SEC document |
| April 05, 2022 Filed Apr 20, 2022 16:47 UTC | BIOVIE INC. BIVI · Entity 7702 | GrantStock Option (right to buy) · Derivative | 122,250 | $0.00 Strike: $5.04 | $0.00 |
DisclosureSEC source: 0001062993-22-010540 · form4.xml · derivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,250 Underlying: Common Stock · 122,250 shares Expires 2032-04-05 F1 · security: Options granted pursuant to the Company???s 2019 Omnibus Equity Incentive Plan. F2 · derivative.exercise_date: The options were 25% vested upon grant, with the remaining 75% vesting ratably over a three-year period on each anniversary of the grant date. Read SEC document |
| December 18, 2020 Filed Mar 5, 2021 14:42 UTC | BIOVIE INC. bivi · Entity 7702 | Grantoptions · Derivative | 96,300 | $13.91 Strike: $13.91 | $1,339,533.00 |
DisclosureSEC source: 0001730468-21-000003 · primary_doc.xml · derivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,300 Underlying: common stock · 96,300 shares Expires 2023-12-18 F1 · security: non-qualified options issued from company 2019 Omnibus Equity Incentive Plan, subject to continuation of service to company F2 · derivative.exercise_date: 25% vest on grant date; remaining 75% vest over 3-year period on 1st, 2nd, 3rd anniversary of grant date Read SEC document |
| November 03, 2020 Filed Dec 15, 2020 15:01 UTC | BIOVIE INC. BIVI · Entity 7702 | PurchaseClass A common stock, par value $0.0001 | 2,430 | $7.95 | $19,318.50 |
DisclosureSEC source: 0001520138-20-000616 · ownership.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,100 Read SEC document |
| October 30, 2020 Filed Dec 15, 2020 15:00 UTC | BIOVIE INC. BIVI · Entity 7702 | PurchaseClass A common stock, par value $0.0001 | 2,570 | $7.97 | $20,482.90 |
DisclosureSEC source: 0001520138-20-000614 · ownership.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,670 Read SEC document |
| October 21, 2020 Filed Oct 22, 2020 15:10 UTC | BIOVIE INC. BIVI · Entity 7702 | PurchaseClass A common stock, par value $0.0001 | 5,000 | $9.19 | $45,950.00 |
DisclosureSEC source: 0001520138-20-000504 · ownership.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,100 Read SEC document |
| October 15, 2020 Filed Oct 19, 2020 14:59 UTC | BIOVIE INC. BIVI · Entity 7702 | PurchaseClass A common stock, par value $0.0001 | 100 | $10.27 | $1,027.00 |
DisclosureSEC source: 0001520138-20-000492 · ownership.xml · nonDerivative · entry 5 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 20,100 Read SEC document |
| October 15, 2020 Filed Oct 19, 2020 14:59 UTC | BIOVIE INC. BIVI · Entity 7702 | PurchaseClass A common stock, par value $0.0001 | 1,000 | $10.18 | $10,180.00 |
DisclosureSEC source: 0001520138-20-000492 · ownership.xml · nonDerivative · entry 4 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 21,100 Read SEC document |
| October 15, 2020 Filed Oct 19, 2020 14:59 UTC | BIOVIE INC. BIVI · Entity 7702 | PurchaseClass A common stock, par value $0.0001 | 4,000 | $10.19 | $40,760.00 |
DisclosureSEC source: 0001520138-20-000492 · ownership.xml · nonDerivative · entry 3 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 25,100 Read SEC document |
| October 15, 2020 Filed Oct 19, 2020 14:59 UTC | BIOVIE INC. BIVI · Entity 7702 | PurchaseClass A common stock, par value $0.0001 | 5,000 | $10.10 | $50,500.00 |
DisclosureSEC source: 0001520138-20-000492 · ownership.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,100 Read SEC document |
| October 15, 2020 Filed Oct 19, 2020 14:59 UTC | BIOVIE INC. BIVI · Entity 7702 | PurchaseClass A common stock, par value $0.0001 | 5,000 | $10.01 | $50,050.00 |
DisclosureSEC source: 0001520138-20-000492 · ownership.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,100 Read SEC document |
| October 09, 2020 Filed Oct 14, 2020 14:07 UTC | BIOVIE INC. BIVI · Entity 7702 | PurchaseClass A common stock, par value $0.0001 | 282 | $9.61 | $2,710.02 |
DisclosureSEC source: 0001520138-20-000484 · ownership.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Read SEC document |
| October 07, 2020 Filed Oct 14, 2020 14:05 UTC | BIOVIE INC. BIVI · Entity 7702 | PurchaseClass A common stock, par value $0.0001 | 4,718 | $9.42 | $44,443.56 |
DisclosureSEC source: 0001520138-20-000482 · ownership.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,718 Read SEC document |
| September 22, 2020 Filed Oct 14, 2020 13:49 UTC | BIOVIE INC. BIVI · Entity 7702 | PurchaseClass A common stock, par value $0.0001 | 15,000 | $10.00 | $150,000.00 |
DisclosureSEC source: 0001520138-20-000480 · ownership.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Read SEC document |
| June 16, 2020 Filed Oct 23, 2020 20:19 UTC | BIOVIE INC. bivi · Entity 7702 | Othernone | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0001807148-20-000002 · primary_doc.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: FORM 3 NOT PREVIOUSLY REPORTED; MR. GORLIN BECAME A DIRECTOR ONLY. NO SECURITIES WERE BENEFICIALLY HELD AT THIS TIME. Read SEC document |
| June 10, 2020 Filed Jun 11, 2020 18:23 UTC | ImmunityBio, Inc. NK · Entity 3618 | GrantStock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $6.21 | $0.00 |
DisclosureSEC source: 0001209191-20-036037 · doc4.xml · derivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2030-06-10 F1 · derivative.exercise_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through such applicable vesting date, one hundred percent (100%) of the shares subject to the award will vest on the earlier to occur of June 10, 2021 or the date immediately preceding the 2021 annual meeting of stockholders. Read SEC document |
| August 06, 2019 Filed Aug 8, 2019 17:00 UTC | POLARITYTE, INC. PTE · Entity 117561 | GrantCommon Stock | 29,718 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-19-011921 · ownership.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,018 Read SEC document |
| June 10, 2019 Filed Jun 12, 2019 17:00 UTC | POLARITYTE, INC. PTE · Entity 117561 | SaleCommon Stock | 53,700 | $5.94 | $318,978.00 |
DisclosureSEC source: 0001493152-19-009059 · ownership.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,300 F1 · price: The Price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.90 to $6.09, inclusive. The reporting person undertakes to provide to PolarityTE, Inc. and any of its security holders, and to the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. Read SEC document |
| June 06, 2019 Filed Jun 7, 2019 16:43 UTC | ImmunityBio, Inc. NK · Entity 3618 | GrantCommon Stock | 92,592 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-035595 · doc4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,592 F1 · security: Each restricted stock unit ("RSU") represents a contingent right to receive one share of NantKwest, Inc. common stock. F2 · shares: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through such applicable vesting date, one hundred percent (100%) of the RSUs subject to the award will vest on the earlier to occur of June 6, 2020 or the date immediately preceding the 2020 annual meeting of stockholders. Read SEC document |
| November 29, 2018 Filed Nov 29, 2018 19:36 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 34,019 | $1.70 | $57,784.67 |
DisclosureSEC source: 0001209191-18-060310 · doc4.xml · nonDerivative · entry 3 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 138,349 F3 · price: Represents the weighted average share price of an aggregate total of 34,019 shares sold in the price range of $1.659 to $1.705 by the reporting person's spouse. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| November 29, 2018 Filed Dec 3, 2018 17:44 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 138,349 | $1.65 | $228,275.85 |
DisclosureSEC source: 0001209191-18-060644 · doc4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 0 Read SEC document |
| November 28, 2018 Filed Nov 29, 2018 19:36 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 17,140 | $1.76 | $30,125.26 |
DisclosureSEC source: 0001209191-18-060310 · doc4.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 172,368 F2 · price: Represents the weighted average share price of an aggregate total of 17,140 shares sold in the price range of $1.75 to $1.78 by the reporting person's spouse. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| November 27, 2018 Filed Nov 29, 2018 19:36 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 100,000 | $1.75 | $175,200.00 |
DisclosureSEC source: 0001209191-18-060310 · doc4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 189,508 F1 · price: Represents the weighted average share price of an aggregate total of 100,000 shares sold in the price range of $1.75 to $1.7768 by the reporting person's spouse. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| November 23, 2018 Filed Nov 26, 2018 19:21 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 9,312 | $2.01 | $18,717.12 |
DisclosureSEC source: 0001209191-18-059963 · doc4.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 289,508 Read SEC document |
| November 21, 2018 Filed Nov 26, 2018 19:21 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 22,900 | $2.02 | $46,216.78 |
DisclosureSEC source: 0001209191-18-059963 · doc4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 298,820 F1 · price: Represents the weighted average share price of an aggregate total of 22,900 shares sold in the price range of $2.01 to $2.06 by the reporting person's spouse. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| November 14, 2018 Filed Nov 14, 2018 20:07 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 115,930 | $2.21 | $255,718.39 |
DisclosureSEC source: 0001209191-18-058641 · doc4.xml · nonDerivative · entry 3 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F3 · price: Represents the weighted average share price of an aggregate total of 115,930 shares sold in the price range of $2.17 to $2.40 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| November 13, 2018 Filed Nov 14, 2018 20:07 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 33,300 | $2.40 | $79,886.70 |
DisclosureSEC source: 0001209191-18-058641 · doc4.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,930 F2 · price: Represents the weighted average share price of an aggregate total of 33,300 shares sold in the price range of $2.38 to $2.47 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| November 12, 2018 Filed Nov 14, 2018 20:07 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 47,050 | $2.43 | $114,463.24 |
DisclosureSEC source: 0001209191-18-058641 · doc4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 149,230 F1 · price: Represents the weighted average share price of an aggregate total of 47,050 shares sold in the price range of $2.40 to $2.62 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| November 01, 2018 Filed Nov 5, 2018 16:31 UTC | POLARITYTE, INC. PTE · Entity 117561 | GrantEmployee Stock Option (Right to Buy) · Derivative | 8,624 | $0.00 Strike: $15.24 | $0.00 |
DisclosureSEC source: 0001493152-18-015197 · ownership.xml · derivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,624 Underlying: Common Stock · 8,624 shares Expires 2028-10-31 F2 · derivative.exercise_date: The option vests in 12 equal monthly installments beginning on December 1, 2018. Read SEC document |
| November 01, 2018 Filed Nov 5, 2018 16:31 UTC | POLARITYTE, INC. PTE · Entity 117561 | GrantRestricted Stock Units · Derivative | 4,020 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-18-015197 · ownership.xml · derivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,020 Underlying: Common Stock · 4,020 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock units vest in full on November 1, 2019. F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock units vest in full on November 1, 2019. F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock units vest in full on November 1, 2019. Read SEC document |
| August 27, 2018 Filed Aug 27, 2018 19:47 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 18,300 | $3.09 | $56,462.82 |
DisclosureSEC source: 0001209191-18-048571 · doc4.xml · nonDerivative · entry 3 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,280 F3 · price: Represents the weighted average share price of an aggregate total of 18,300 shares sold in the price range of $3.05 to $3.14 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| August 24, 2018 Filed Aug 27, 2018 19:47 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 10,225 | $3.07 | $31,340.65 |
DisclosureSEC source: 0001209191-18-048571 · doc4.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 214,580 F2 · price: Represents the weighted average share price of an aggregate total of 10,225 shares sold in the price range of $3.04 to $3.11 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| August 23, 2018 Filed Aug 27, 2018 19:47 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 21,475 | $3.06 | $65,709.21 |
DisclosureSEC source: 0001209191-18-048571 · doc4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 224,805 F1 · price: Represents the weighted average share price of an aggregate total of 21,475 shares sold in the price range of $3.03 to $3.105 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| June 15, 2018 Filed Jun 18, 2018 21:55 UTC | Ontrak, Inc. CATS · Entity 78207 | PurchaseCommon Stock | 215 | $8.57 | $1,842.55 |
DisclosureSEC source: 0001437749-18-012034 · rdgdoc.xml · nonDerivative · entry 6 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 100,000 F1 · ownership.nature: The reporting person disclaims beneficial ownership of these securities. Read SEC document |
| June 15, 2018 Filed Jun 18, 2018 21:55 UTC | Ontrak, Inc. CATS · Entity 78207 | PurchaseCommon Stock | 2,300 | $8.59 | $19,757.00 |
DisclosureSEC source: 0001437749-18-012034 · rdgdoc.xml · nonDerivative · entry 5 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 99,785 F1 · ownership.nature: The reporting person disclaims beneficial ownership of these securities. Read SEC document |
| June 15, 2018 Filed Jun 18, 2018 21:55 UTC | Ontrak, Inc. CATS · Entity 78207 | PurchaseCommon Stock | 300 | $8.65 | $2,595.00 |
DisclosureSEC source: 0001437749-18-012034 · rdgdoc.xml · nonDerivative · entry 4 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 97,485 F1 · ownership.nature: The reporting person disclaims beneficial ownership of these securities. Read SEC document |
| June 15, 2018 Filed Jun 18, 2018 21:55 UTC | Ontrak, Inc. CATS · Entity 78207 | PurchaseCommon Stock | 1,550 | $8.60 | $13,330.00 |
DisclosureSEC source: 0001437749-18-012034 · rdgdoc.xml · nonDerivative · entry 3 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 97,185 F1 · ownership.nature: The reporting person disclaims beneficial ownership of these securities. Read SEC document |
| June 15, 2018 Filed Jun 18, 2018 21:55 UTC | Ontrak, Inc. CATS · Entity 78207 | PurchaseCommon Stock | 100 | $8.64 | $864.00 |
DisclosureSEC source: 0001437749-18-012034 · rdgdoc.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 95,635 F1 · ownership.nature: The reporting person disclaims beneficial ownership of these securities. Read SEC document |
| June 15, 2018 Filed Jun 18, 2018 21:55 UTC | Ontrak, Inc. CATS · Entity 78207 | PurchaseCommon Stock | 300 | $8.59 | $2,577.00 |
DisclosureSEC source: 0001437749-18-012034 · rdgdoc.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 95,535 F1 · ownership.nature: The reporting person disclaims beneficial ownership of these securities. Read SEC document |
| June 15, 2018 Filed Jun 18, 2018 21:55 UTC | Ontrak, Inc. CATS · Entity 78207 | PurchaseCommon Stock | 1,700 | $8.68 | $14,756.00 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 30 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 95,235 F1 · ownership.nature: The reporting person disclaims beneficial ownership of these securities. Read SEC document |
| June 15, 2018 Filed Jun 18, 2018 21:55 UTC | Ontrak, Inc. CATS · Entity 78207 | PurchaseCommon Stock | 300 | $8.63 | $2,589.00 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 29 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 93,535 F1 · ownership.nature: The reporting person disclaims beneficial ownership of these securities. Read SEC document |
| June 15, 2018 Filed Jun 18, 2018 21:55 UTC | Ontrak, Inc. CATS · Entity 78207 | PurchaseCommon Stock | 700 | $8.69 | $6,083.00 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 28 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 93,235 F1 · ownership.nature: The reporting person disclaims beneficial ownership of these securities. Read SEC document |
| June 15, 2018 Filed Jun 18, 2018 21:55 UTC | Ontrak, Inc. CATS · Entity 78207 | PurchaseCommon Stock | 3,000 | $8.70 | $26,100.00 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 27 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 92,535 F1 · ownership.nature: The reporting person disclaims beneficial ownership of these securities. Read SEC document |
| June 15, 2018 Filed Jun 18, 2018 21:55 UTC | Ontrak, Inc. CATS · Entity 78207 | PurchaseCommon Stock | 200 | $8.67 | $1,734.00 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 26 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 89,535 F1 · ownership.nature: The reporting person disclaims beneficial ownership of these securities. Read SEC document |
| June 15, 2018 Filed Jun 18, 2018 21:55 UTC | Ontrak, Inc. CATS · Entity 78207 | PurchaseCommon Stock | 1,100 | $8.71 | $9,581.00 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 25 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 89,335 F1 · ownership.nature: The reporting person disclaims beneficial ownership of these securities. Read SEC document |
| June 15, 2018 Filed Jun 18, 2018 21:55 UTC | Ontrak, Inc. CATS · Entity 78207 | PurchaseCommon Stock | 100 | $8.63 | $863.00 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 24 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 88,235 F1 · ownership.nature: The reporting person disclaims beneficial ownership of these securities. Read SEC document |
| June 15, 2018 Filed Jun 18, 2018 21:55 UTC | Ontrak, Inc. CATS · Entity 78207 | PurchaseCommon Stock | 200 | $8.58 | $1,716.00 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 23 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 88,135 F1 · ownership.nature: The reporting person disclaims beneficial ownership of these securities. 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.