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 28, 2017 Filed Jun 29, 2017 09:00 UTC | Innoveren Scientific, Inc. MDVX · Entity 95079 | PurchaseCommon Stock | 2,000 | $0.88 | $1,760.00 |
DisclosureSEC source: 0001415889-17-001072 · form4-06292017_090601.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,380,020 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 |
| June 28, 2017 Filed Jun 29, 2017 09:00 UTC | Innoveren Scientific, Inc. MDVX · Entity 95079 | PurchaseCommon Stock | 3,000 | $0.87 | $2,610.00 |
DisclosureSEC source: 0001415889-17-001072 · form4-06292017_090601.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,378,020 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 |
| June 20, 2017 Filed Jun 21, 2017 16:02 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 20,000 | $8.13 | $162,600.00 |
DisclosureSEC source: 0001209191-17-041194 · doc4.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 389,725 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 9, 2016. Read SEC document |
| June 20, 2017 Filed Jun 21, 2017 16:02 UTC | ImmunityBio, Inc. NK · Entity 3618 | SaleCommon Stock | 20,000 | $7.43 | $148,600.00 |
DisclosureSEC source: 0001209191-17-041194 · doc4.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 409,725 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 9, 2016. Read SEC document |
| June 14, 2017 Filed Jun 15, 2017 10:25 UTC | Innoveren Scientific, Inc. MDVX · Entity 95079 | PurchaseCommon Stock | 5,000 | $0.97 | $4,850.00 |
DisclosureSEC source: 0001415889-17-000999 · form4-06152017_070621.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,375,020 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 |
| June 07, 2017 Filed Jun 8, 2017 10:00 UTC | Innoveren Scientific, Inc. MDVX · Entity 95079 | PurchaseCommon Stock | 5,000 | $0.98 | $4,900.00 |
DisclosureSEC source: 0001415889-17-000947 · form4-06082017_100602.xml · nonDerivative · entry 4 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,370,020 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 |
| June 07, 2017 Filed Jun 8, 2017 10:00 UTC | Innoveren Scientific, Inc. MDVX · Entity 95079 | PurchaseCommon Stock | 5,000 | $0.96 | $4,800.00 |
DisclosureSEC source: 0001415889-17-000947 · form4-06082017_100602.xml · nonDerivative · entry 3 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,365,020 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 |
| June 07, 2017 Filed Jun 8, 2017 10:00 UTC | Innoveren Scientific, Inc. MDVX · Entity 95079 | PurchaseCommon Stock | 15,000 | $0.95 | $14,250.00 |
DisclosureSEC source: 0001415889-17-000947 · form4-06082017_100602.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,360,020 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 |
| June 07, 2017 Filed Jun 8, 2017 10:00 UTC | Innoveren Scientific, Inc. MDVX · Entity 95079 | PurchaseCommon Stock | 5,000 | $0.94 | $4,700.00 |
DisclosureSEC source: 0001415889-17-000947 · form4-06082017_100602.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,345,020 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 |
| February 17, 2017 Filed Feb 22, 2017 16:35 UTC | Innoveren Scientific, Inc. MDVX · Entity 95079 | PurchaseWarrants · Derivative | 19,179 | $0.35 Strike: $3.00 | $6,712.65 |
DisclosureSEC source: 0001415889-17-000306 · form4-02222017_040202.xml · derivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,179 Underlying: Common Stock · 19,179 shares Expires 2017-02-22 F1 · derivative.underlying_shares: The warrants purchased trade publicly under the symbol "MDVXW" on the NASDAQ Stock Market. Read SEC document |
| February 17, 2017 Filed Feb 22, 2017 16:35 UTC | Innoveren Scientific, Inc. MDVX · Entity 95079 | PurchaseWarrants · Derivative | 60,000 | $0.36 Strike: $3.00 | $21,600.00 |
DisclosureSEC source: 0001415889-17-000306 · form4-02222017_040202.xml · derivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2017-02-22 F1 · derivative.underlying_shares: The warrants purchased trade publicly under the symbol "MDVXW" on the NASDAQ Stock Market. Read SEC document |
| February 09, 2017 Filed Feb 14, 2017 19:49 UTC | Innoveren Scientific, Inc. MDVX · Entity 95079 | PurchaseWarrants · Derivative | 72,115 | $1.04 Strike: $1.50 | $74,999.60 |
DisclosureSEC source: 0001415889-17-000265 · form4-02142017_040241.xml · derivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 459,615 Underlying: Common Stock · 72,115 shares Expires 2022-02-09 F3 · derivative.underlying_shares: The warrants were purchased as part of a private placement unit offering for $1.04 per unit, each unit consisting of one share of common stock and one-half of a warrant to purchase one share of common stock at an exercise price per share equal to $1.50 per share for a period of five (5) years. Read SEC document |
| February 09, 2017 Filed Feb 14, 2017 19:49 UTC | Innoveren Scientific, Inc. MDVX · Entity 95079 | PurchaseCommon Stock | 144,230 | $1.04 | $149,999.20 |
DisclosureSEC source: 0001415889-17-000265 · form4-02142017_040241.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,340,020 F1 · shares: The 144,231 shares were purchased as part of a private placement unit offering for $1.04 per unit, each unit consisting of one share of common stock and one-half of a warrant to purchase one share of common stock at an exercise price per share equal to $1.50 per share for a period of five (5) years. 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 |
| December 01, 2016 Filed Dec 6, 2016 16:21 UTC | Innoveren Scientific, Inc. MDVX · Entity 95079 | PurchaseWarrants · Derivative | 112,500 | Not disclosed Strike: $1.85 | Not disclosed |
DisclosureSEC source: 0001415889-16-007552 · form4-12062016_011232.xml · derivative · entry 3 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 387,500 Underlying: Common Stock · 112,500 shares Expires 2018-11-09 F4 · price: Represents an assignment of 112,500 warrants to purchase shares of common stock issued to the Reporting Person in connection with the Note. Read SEC document |
| December 01, 2016 Filed Dec 6, 2016 16:21 UTC | Innoveren Scientific, Inc. MDVX · Entity 95079 | PurchaseCommon Stock | 314,286 | $1.75 | $550,000.50 |
DisclosureSEC source: 0001415889-16-007552 · form4-12062016_011232.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,018,592 F1 · balance_after: Includes 125,000 shares held by Mr. Gorlin's spouse, Deborah Gorlin. Mr. Gorlin disclaims beneficial ownership of Deborah Gorlin's shares. F3 · balance_after: The 314,286 shares were issued against the conversion of the Note. Read SEC document |
| December 01, 2016 Filed Dec 6, 2016 16:21 UTC | Innoveren Scientific, Inc. MDVX · Entity 95079 | PurchaseCommon Stock | 257,143 | $1.75 | $450,000.25 |
DisclosureSEC source: 0001415889-16-007552 · form4-12062016_011232.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 704,360 F1 · balance_after: Includes 125,000 shares held by Mr. Gorlin's spouse, Deborah Gorlin. Mr. Gorlin disclaims beneficial ownership of Deborah Gorlin's shares. F2 · balance_after: The 257,143 shares represent a portion of the total number of shares issued to Mr. Gorlin against the conversion of a $1,000,000 promissory note (the "Note"). Read SEC document |
| October 07, 2016 Filed Feb 10, 2017 19:21 UTC | ImmunityBio, Inc. NK · Entity 3618 | GiftCommon Stock | 300,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-009775 · doc5.xml · nonDerivative · entry 2 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By spouse Disclosed balance after: 521,720 Read SEC document |
| October 07, 2016 Filed Feb 10, 2017 19:21 UTC | ImmunityBio, Inc. NK · Entity 3618 | GiftCommon Stock | 300,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-009775 · doc5.xml · nonDerivative · entry 1 GORLIN STEVE · CIK 0001033742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 429,725 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.