Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PUMA BIOTECHNOLOGY, INC.PBYI · Entity 5478 | SEE REMARKS | April 05, 2021 | April 06, 2021 |
| Rain Oncology Inc.RAIN · Entity 94695 | Chief Medical Officer | February 15, 2023 | February 17, 2023 |
| enGene Therapeutics Inc.ENGN · Entity 6638 | Chief Medical Officer | November 30, 2023 | December 04, 2023 |
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.
PUMA BIOTECHNOLOGY, INC.
Report date April 05, 2021 · Filed April 06, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 121,662 |
Reported balance
After 2021-04-05 transaction · row 1
1 source rowRow 1 · 2021-04-05 · Sale · Disposed 426 · Balance 121,662 F1: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units. |
Filing footnotes · ownership attribution and instrument terms
F1: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.
Rain Oncology Inc.
Report date February 15, 2023 · Filed February 17, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.30 · Expires 2033-02-15 | Direct | 110,000 |
Reported balance
After 2023-02-15 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-02-15 · Grant · Acquired 110,000 · Balance 110,000 F1: This option represents a right to purchase a total of 110,000 shares of the Issuer's common stock, one quarter of which will vest on February 15, 2024, with the remaining three quarters vesting in equal monthly installments through February 15, 2027, subject to the Reporting Person's continued service to the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: This option represents a right to purchase a total of 110,000 shares of the Issuer's common stock, one quarter of which will vest on February 15, 2024, with the remaining three quarters vesting in equal monthly installments through February 15, 2027, subject to the Reporting Person's continued service to the Issuer.
enGene Therapeutics Inc.
Report date November 30, 2023 · Filed December 04, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.66 · Expires 2033-11-30 | Direct | 153,000 |
Reported balance
After 2023-11-30 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-11-30 · Grant · Acquired 153,000 · Balance 153,000 F1: This option vests at 25% on the first anniversary of the grant date, with the remaining portion to vest monthly over the remaining three years. |
Filing footnotes · ownership attribution and instrument terms
F1: This option vests at 25% on the first anniversary of the grant date, with the remaining portion to vest monthly over the remaining three years.
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 |
|---|---|---|---|---|---|---|
| September 07, 2017 Filed Sep 8, 2017 20:11 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | Exercise / conversionCOMMON STOCK | 14,000 | $11.30 | $158,200.00 |
DisclosureSEC source: 0001209191-17-052039 · doc4.xml · nonDerivative · entry 3 BRYCE RICHARD PAUL · CIK 0001553037 · SR VP, CLINICAL RESEARCH & DEV 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,239 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 06, 2017 Filed Sep 8, 2017 20:11 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | Exercise / conversionSTOCK OPTION (RIGHT TO BUY) · Derivative | 1,000 | $0.00 Strike: $11.30 | $0.00 |
DisclosureSEC source: 0001209191-17-052039 · doc4.xml · derivative · entry 5 BRYCE RICHARD PAUL · CIK 0001553037 · SR VP, CLINICAL RESEARCH & DEV 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,000 Underlying: COMMON STOCK · 1,000 shares Expires 2022-06-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The option is fully vested and is exercisable. Read SEC document |
| September 06, 2017 Filed Sep 8, 2017 20:11 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 1,000 | $100.00 | $100,000.00 |
DisclosureSEC source: 0001209191-17-052039 · doc4.xml · nonDerivative · entry 2 BRYCE RICHARD PAUL · CIK 0001553037 · SR VP, CLINICAL RESEARCH & DEV 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,239 F1 · kind: The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person. Read SEC document |
| September 06, 2017 Filed Sep 8, 2017 20:11 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | Exercise / conversionCOMMON STOCK | 1,000 | $11.30 | $11,300.00 |
DisclosureSEC source: 0001209191-17-052039 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SR VP, CLINICAL RESEARCH & DEV 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,239 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 20, 2017 Filed Jul 24, 2017 21:10 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 7 | $95.20 | $666.40 |
DisclosureSEC source: 0001209191-17-046089 · doc4.xml · nonDerivative · entry 2 BRYCE RICHARD PAUL · CIK 0001553037 · SR VP, CLINICAL RESEARCH & DEV 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,239 F1 · kind: The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 19, 2016 to satisfy tax obligations in connection with the vesting of restricted stock units. Read SEC document |
| July 20, 2017 Filed Jul 24, 2017 21:10 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 1,991 | $94.48 | $188,110.87 |
DisclosureSEC source: 0001209191-17-046089 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SR VP, CLINICAL RESEARCH & DEV 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,246 F1 · kind: The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 19, 2016 to satisfy tax obligations in connection with the vesting of restricted stock units. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $94.1589 to $94.8500, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| July 03, 2017 Filed Jul 14, 2017 22:01 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | Exercise / conversionSTOCK OPTION (RIGHT TO BUY) · Derivative | 5,000 | $0.00 Strike: $11.30 | $0.00 |
DisclosureSEC source: 0001209191-17-045240 · doc4.xml · derivative · entry 3 BRYCE RICHARD PAUL · CIK 0001553037 · SR VP, CLINICAL RESEARCH & DEV 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,000 Underlying: COMMON STOCK · 5,000 shares Expires 2022-06-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The option is fully vested and is exercisable. Read SEC document |
| July 03, 2017 Filed Jul 14, 2017 22:01 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 5,000 | $87.10 | $435,500.00 |
DisclosureSEC source: 0001209191-17-045240 · doc4.xml · nonDerivative · entry 2 BRYCE RICHARD PAUL · CIK 0001553037 · SR VP, CLINICAL RESEARCH & DEV 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,237 F1 · kind: The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person. Read SEC document |
| July 03, 2017 Filed Jul 14, 2017 22:01 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | Exercise / conversionCOMMON STOCK | 5,000 | $11.30 | $56,500.00 |
DisclosureSEC source: 0001209191-17-045240 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SR VP, CLINICAL RESEARCH & DEV 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,237 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 16, 2017 Filed Feb 21, 2017 21:45 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantSTOCK OPTION (RIGHT TO BUY) · Derivative | 31,500 | $0.00 Strike: $37.35 | $0.00 |
DisclosureSEC source: 0001209191-17-012749 · doc4.xml · derivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SR VP, CLINICAL RESEARCH & DEV 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,500 Underlying: COMMON STOCK · 31,500 shares Expires 2027-02-15 F1 · derivative.exercise_date: The vesting commencement date ("Vesting Commencement Date") of the option is February 16, 2017. The option vests (i) with respect to one-third (1/3) of the shares underlying the option on the first anniversary of the Vesting Commencement Date and (ii) with respect to 1/36th of the shares underlying the option, on each monthly anniversary of the Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer. Read SEC document |
| January 20, 2017 Filed Jan 24, 2017 22:51 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 2,293 | $33.24 | $76,208.08 |
DisclosureSEC source: 0001209191-17-005347 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SR VP, CLINICAL RESEARCH & DEV 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,237 F1 · kind: The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 19, 2016 to satisfy tax obligations in connection with the vesting of restricted stock units. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.90 to $33.60, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F1 · acquired: The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 19, 2016 to satisfy tax obligations in connection with the vesting of restricted stock units. Read SEC document |
| October 14, 2016 Filed Oct 15, 2016 01:12 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantCOMMON STOCK | 31,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-145978 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SR VP, CLINICAL RESEARCH & DEV 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,530 F1 · shares: Represents Restricted Stock Units which vest in six substantially equal installments on each six-month anniversary of the Vesting Commencement Date of July 19, 2016, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date. 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.