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 |
|---|---|---|---|---|---|---|
| June 15, 2018 Filed Jun 18, 2018 21:55 UTC | Ontrak, Inc. CATS · Entity 78207 | PurchaseCommon Stock | 350 | $8.50 | $2,975.00 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 22 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 87,935 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 | $8.45 | $845.00 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 21 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 87,585 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 | 1,385 | $8.49 | $11,758.65 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 20 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 87,485 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 | 1,100 | $8.47 | $9,317.00 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 19 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 86,100 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 | 115 | $8.49 | $976.35 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 18 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 85,000 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 | 85 | $8.48 | $720.80 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 17 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 84,885 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 | 900 | $8.46 | $7,614.00 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 16 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 84,800 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 | $8.45 | $1,690.00 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 15 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 83,900 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 | 600 | $8.50 | $5,100.00 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 14 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 83,700 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 | $8.47 | $1,694.00 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 13 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 83,100 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 | $8.41 | $841.00 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 12 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 82,900 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 | 800 | $8.40 | $6,720.00 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 11 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 82,800 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 | 1,000 | $8.39 | $8,390.00 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 10 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 82,000 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 | 100 | $8.38 | $838.00 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 9 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 81,000 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 | 800 | $8.35 | $6,680.00 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 8 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 80,900 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 | $8.34 | $834.00 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 7 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 80,100 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 | $7.95 | $2,385.00 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 6 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 80,000 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 | 1,200 | $7.91 | $9,492.00 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 5 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 79,700 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 | 2,200 | $7.94 | $17,468.00 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 4 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 78,500 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 | 600 | $7.91 | $4,746.00 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 3 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 76,300 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 | 600 | $7.93 | $4,758.00 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 75,700 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 | $7.92 | $792.00 |
DisclosureSEC source: 0001437749-18-012033 · rdgdoc.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 75,100 F1 · ownership.nature: The reporting person disclaims beneficial ownership of these securities. Read SEC document |
| June 07, 2018 Filed Jun 7, 2018 20:21 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 26,957 | $3.66 | $98,614.10 |
DisclosureSEC source: 0001209191-18-036531 · doc4.xml · nonDerivative · entry 3 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 321,720 F3 · price: Represents the weighted average share price of an aggregate total of 26,957 shares sold in the price range of $3.62 to $3.75 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 |
| June 06, 2018 Filed Jun 7, 2018 20:21 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 23,574 | $3.79 | $89,272.38 |
DisclosureSEC source: 0001209191-18-036531 · doc4.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 348,677 F2 · price: Represents the weighted average share price of an aggregate total of 23,574 shares sold in the price range of $3.77 to $3.815 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 |
| June 05, 2018 Filed Jun 7, 2018 20:21 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 28,925 | $3.75 | $108,338.59 |
DisclosureSEC source: 0001209191-18-036531 · doc4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 372,251 F1 · price: Represents the weighted average share price of an aggregate total of 28,925 shares sold in the price range of $3.74 to $3.79 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 |
| May 30, 2018 Filed Jun 1, 2018 16:23 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 2,724 | $3.88 | $10,563.94 |
DisclosureSEC source: 0001209191-18-034681 · doc4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 401,176 F1 · price: Represents the weighted average share price of an aggregate total of 2,724 shares sold in the price range of $3.86 to $3.89 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 |
| May 29, 2018 Filed May 29, 2018 19:53 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 100 | $3.90 | $389.50 |
DisclosureSEC source: 0001209191-18-034020 · doc4.xml · nonDerivative · entry 6 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 403,900 Read SEC document |
| May 29, 2018 Filed May 29, 2018 19:53 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 500 | $3.90 | $1,950.00 |
DisclosureSEC source: 0001209191-18-034020 · doc4.xml · nonDerivative · entry 5 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 404,000 Read SEC document |
| May 29, 2018 Filed May 29, 2018 19:53 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 1,500 | $3.89 | $5,835.00 |
DisclosureSEC source: 0001209191-18-034020 · doc4.xml · nonDerivative · entry 4 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 404,500 Read SEC document |
| May 25, 2018 Filed May 29, 2018 19:53 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 200 | $3.98 | $796.00 |
DisclosureSEC source: 0001209191-18-034020 · doc4.xml · nonDerivative · entry 3 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 406,000 Read SEC document |
| May 25, 2018 Filed May 29, 2018 19:53 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 3,400 | $3.97 | $13,498.00 |
DisclosureSEC source: 0001209191-18-034020 · doc4.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 406,200 Read SEC document |
| May 24, 2018 Filed May 29, 2018 19:53 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 303 | $3.96 | $1,199.88 |
DisclosureSEC source: 0001209191-18-034020 · doc4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 409,600 Read SEC document |
| May 22, 2018 Filed May 23, 2018 21:38 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 8,546 | $3.81 | $32,560.26 |
DisclosureSEC source: 0001209191-18-032796 · doc4.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 409,903 F2 · price: Represents closing share price on May 22, 2018. Read SEC document |
| May 22, 2018 Filed May 24, 2018 16:09 UTC Amendment | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 8,546 | $3.91 | $33,431.10 |
DisclosureSEC source: 0001209191-18-032966 · doc4a.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 409,903 F2 · price: This amendment is being filed to correct the weighted average share price for shares sold May 21, 2018 and May 22, 2018 as reported in the Form 4 filed on May 23, 2018. F3 · price: Represents the weighted average share price of an aggregate total of 8,546 shares sold in the price range of $3.91 to $3.925 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 |
| May 21, 2018 Filed May 23, 2018 21:38 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 5,557 | $3.90 | $21,672.30 |
DisclosureSEC source: 0001209191-18-032796 · doc4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 418,449 F1 · price: Represents closing share price on May 21, 2018. Read SEC document |
| May 21, 2018 Filed May 24, 2018 16:09 UTC Amendment | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 5,557 | $4.00 | $22,216.89 |
DisclosureSEC source: 0001209191-18-032966 · doc4a.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 418,449 F1 · price: Represents the weighted average share price of an aggregate total of 5,557 shares sold in the price range of $3.97 to $4.01 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. F2 · price: This amendment is being filed to correct the weighted average share price for shares sold May 21, 2018 and May 22, 2018 as reported in the Form 4 filed on May 23, 2018. Read SEC document |
| May 18, 2018 Filed May 22, 2018 20:41 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 15,971 | $3.97 | $63,412.86 |
DisclosureSEC source: 0001209191-18-032482 · doc4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 424,006 F1 · price: Represents the weighted average share price of an aggregate total of 15,971 shares sold in the price range of $3.97 to $4.00 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 |
| May 17, 2018 Filed May 17, 2018 18:53 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 38,708 | $4.00 | $154,928.77 |
DisclosureSEC source: 0001209191-18-031170 · doc4.xml · nonDerivative · entry 3 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 439,977 F3 · price: Represents the weighted average share price of an aggregate total of 38,708 shares sold in the price range of $4.00 to $4.03 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 |
| May 16, 2018 Filed May 17, 2018 18:53 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 16,200 | $4.05 | $65,634.30 |
DisclosureSEC source: 0001209191-18-031170 · doc4.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 478,685 F2 · price: Represents the weighted average share price of an aggregate total of 16,200 shares sold in the price range of $4.04 to $4.11 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 |
| May 15, 2018 Filed May 17, 2018 18:53 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 26,835 | $4.13 | $110,890.27 |
DisclosureSEC source: 0001209191-18-031170 · doc4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 494,885 F1 · price: Represents the weighted average share price of an aggregate total of 26,835 shares sold in the price range of $4.08 to $4.20 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 |
| December 19, 2017 Filed Dec 22, 2017 21:55 UTC | Ontrak, Inc. CATS · Entity 78207 | GrantStock Option to purchase Common Stock · Derivative | 52,836 | Not disclosed Strike: $7.50 | Not disclosed |
DisclosureSEC source: 0001437749-17-021143 · rdgdoc.xml · derivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,836 Underlying: Common Stock · 52,836 shares Expires 2022-12-19 F1 · kind: These options were granted to Mr. Gorlin for his services as a member of the Company's Board of Directors. F1 · price: These options were granted to Mr. Gorlin for his services as a member of the Company's Board of Directors. F2 · derivative.exercise_date: These options have a three-year vesting period out of which 17,612 shares vested on December 19, 2017, the grant date, and 35,224 shares shall vest at the end of each calendar quarter for the 2018 and 2019 calendar years, such that all shares shall vest on December 31, 2019. Quarterly vesting of the option will be subject to Mr. Gorlin attending board meetings, unless such absence is excused by the Chairman of the board. All unvested options will immediately vest in the event of termination without cause. Read SEC document |
| November 10, 2017 Filed Nov 13, 2017 06:33 UTC | POLARITYTE, INC. COOL · Entity 117561 | GrantOption · Derivative | 5,000 | $0.00 Strike: $24.59 | $0.00 |
DisclosureSEC source: 0001493152-17-012781 · form4.xml · derivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 416 Underlying: Common Stock · 5,000 shares Expires 2027-11-10 F4 · shares: Represents an option award under the PolarityTE, Inc. 2017 Equity Incentive Plan (the "Option Award"), which shall vest in twenty four (24) equal monthly installments on the one month anniversary of the grant date. F5 · price: Option Award issued as a performance award for the Reporting Person's service as a Director of the Issuer. F4 · derivative.exercise_date: Represents an option award under the PolarityTE, Inc. 2017 Equity Incentive Plan (the "Option Award"), which shall vest in twenty four (24) equal monthly installments on the one month anniversary of the grant date. F6 · balance_after: Includes options vested or to be vested within 60 days pursuant to the Option Award. Read SEC document |
| November 10, 2017 Filed Nov 13, 2017 06:33 UTC | POLARITYTE, INC. COOL · Entity 117561 | GrantCommon stock, par value $0.001 per share | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001493152-17-012781 · form4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,333 F1 · shares: Represents a restricted stock award under the PolarityTE, Inc. 2017 Equity Incentive Plan (the "Restricted Stock Award"), which shall vest in twenty four (24) equal monthly installments on the one month anniversary of the grant date. F2 · price: Restricted Stock Award issued as a performance award for the Reporting Person's service as a Director of the Issuer. F3 · balance_after: Includes shares vested or to be vested within 60 days pursuant to the Restricted Stock Award. Read SEC document |
| October 30, 2017 Filed Nov 1, 2017 18:39 UTC | Innoveren Scientific, Inc. MDVX · Entity 95079 | GrantCommon Stock | 10,684 | $1.17 | $12,500.28 |
DisclosureSEC source: 0001493152-17-012293 · form4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director within last 90 days 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,640,704 F1 · shares: 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. F1 · price: 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 · balance_after: Includes 125,000 shares held by Mr. Gorlin's spouse, Deborah Gorlin. Mr. Gorlin disclaims beneficial ownership of Deborah Gorlin's shares. Read SEC document |
| September 13, 2017 Filed Sep 13, 2017 20:20 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 39,604 | $5.93 | $234,728.95 |
DisclosureSEC source: 0001209191-17-052727 · doc4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 246,280 F1 · price: Represents the weighted average share price of an aggregate total of 39,604 shares sold in the price range of $5.90 to $5.955 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 |
| September 12, 2017 Filed Sep 12, 2017 18:12 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 35,811 | $6.03 | $215,832.90 |
DisclosureSEC source: 0001209191-17-052475 · doc4.xml · nonDerivative · entry 3 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 285,884 F3 · price: Represents the weighted average share price of an aggregate total of 35,811 shares sold in the price range of $6.00 to $6.10 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 |
| September 11, 2017 Filed Sep 12, 2017 18:12 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 53,307 | $6.03 | $321,467.86 |
DisclosureSEC source: 0001209191-17-052475 · doc4.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 321,695 F2 · price: Represents the weighted average share price of an aggregate total of 53,307 shares sold in the price range of $6.00 to $6.08 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 |
| September 08, 2017 Filed Sep 12, 2017 18:12 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 14,723 | $6.12 | $90,116.54 |
DisclosureSEC source: 0001209191-17-052475 · doc4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 375,002 F1 · price: Represents the weighted average share price of an aggregate total of 14,723 shares sold in the price range of $6.1031 to $6.15 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 21, 2017 Filed Aug 22, 2017 09:45 UTC | Innoveren Scientific, Inc. MDVX · Entity 95079 | PurchaseCommon Stock | 50,000 | $1.25 | $62,500.00 |
DisclosureSEC source: 0001415889-17-001417 · form4-08222017_090802.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · DIRECTOR WITHIN LAST 90 DAYS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,630,020 F1 · shares: The shares purchased trade publicly under the symbol "MDVX" on the NASDAQ Capital Market. F2 · balance_after: Includes 125,000 shares held by Mr. Gorlin's spouse, Deborah Gorlin. Mr. Gorlin disclaims beneficial ownership of Deborah Gorlin's shares. Read SEC document |
| August 16, 2017 Filed Aug 16, 2017 14:49 UTC | Innoveren Scientific, Inc. MDVX · Entity 95079 | PurchaseCommon Stock | 200,000 | $0.90 | $180,000.00 |
DisclosureSEC source: 0001415889-17-001397 · form4-08162017_110849.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,580,020 F1 · shares: The shares purchased trade publicly under the symbol "MDVX" on the NASDAQ Capital Market. F2 · balance_after: Includes 125,000 shares held by Mr. Gorlin's spouse, Deborah Gorlin. Mr. Gorlin disclaims beneficial ownership of Deborah Gorlin's shares. 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.