Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| IMMUNIC, INC.VTL · Entity 6306 | General Counsel and Secretary | January 11, 2019 | January 15, 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.
IMMUNIC, INC.
Report date January 11, 2019 · Filed January 15, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $19.03 · Expires 2024-11-16 | Direct | 0 |
Reported balance
After 2019-01-11 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-01-11 · Disposition to issuer · Disposed 50,000 · Balance 0 F2: The option was cancelled by mutual agreement of the reporting person and Vital Therapies, Inc. The reporting person received a restricted stock unit award as reported in this Form 4 as consideration for this cancellation. F1: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")), one forty-eighth (1/48th) of the shares subject to the option vested and became exercisable one month after the vesting commencement date of November 17, 2014, and an additional one forty-eighth (1/48th) of the shares vest and become exercisable at the end of each monthly period thereafter. One hundred percent (100%) of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan). |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.28 · Expires 2026-05-12 | Direct | 0 |
Reported balance
After 2019-01-11 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-01-11 · Disposition to issuer · Disposed 45,000 · Balance 0 F2: The option was cancelled by mutual agreement of the reporting person and Vital Therapies, Inc. The reporting person received a restricted stock unit award as reported in this Form 4 as consideration for this cancellation. F3: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")), one forty-eighth (1/48th) of the shares subject to the option vested and became exercisable one month after the vesting commencement date of April 16, 2016, and an additional one forty-eighth (1/48th) of the shares vest and become exercisable at the end of each monthly period thereafter. One hundred percent (100%) of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan). |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.20 · Expires 2027-06-09 | Direct | 0 |
Reported balance
After 2019-01-11 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-01-11 · Disposition to issuer · Disposed 45,000 · Balance 0 F2: The option was cancelled by mutual agreement of the reporting person and Vital Therapies, Inc. The reporting person received a restricted stock unit award as reported in this Form 4 as consideration for this cancellation. F4: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")), one forty-eighth (1/48th) of the shares subject to the option vested and became exercisable one month after the vesting commencement date of June 10, 2017, and an additional one forty-eighth (1/48th) of the shares vest and become exercisable at the end of each monthly period thereafter. One hundred percent (100%) of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan). |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.00 · Expires 2028-06-08 | Direct | 0 |
Reported balance
After 2019-01-11 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-01-11 · Disposition to issuer · Disposed 45,000 · Balance 0 F2: The option was cancelled by mutual agreement of the reporting person and Vital Therapies, Inc. The reporting person received a restricted stock unit award as reported in this Form 4 as consideration for this cancellation. F5: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")), one forty-eighth (1/48th) of the shares subject to the option vested and became exercisable one month after the vesting commencement date of June 9, 2018, and an additional one forty-eighth (1/48th) of the shares vest and become exercisable at the end of each monthly period thereafter. One hundred percent (100%) of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan). |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 724,848 |
Reported balance
After 2019-01-11 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-01-11 · Grant · Acquired 724,848 · Balance 724,848 F6: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Vital Therapies, Inc. Common Stock. F7: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan), twenty five percent (25%) of the RSUs vest annually after the vesting commencement date of January 11, 2019. One hundred percent (100%) of the unvested portion of the RSUs, if any, shall vest in the event of a Termination without Cause or Resignation for Good Reason (each as defined in the reporting person's Change of Control and Severance Agreement). |
Filing footnotes · ownership attribution and instrument terms
F1: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")), one forty-eighth (1/48th) of the shares subject to the option vested and became exercisable one month after the vesting commencement date of November 17, 2014, and an additional one forty-eighth (1/48th) of the shares vest and become exercisable at the end of each monthly period thereafter. One hundred percent (100%) of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan).
F2: The option was cancelled by mutual agreement of the reporting person and Vital Therapies, Inc. The reporting person received a restricted stock unit award as reported in this Form 4 as consideration for this cancellation.
F3: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")), one forty-eighth (1/48th) of the shares subject to the option vested and became exercisable one month after the vesting commencement date of April 16, 2016, and an additional one forty-eighth (1/48th) of the shares vest and become exercisable at the end of each monthly period thereafter. One hundred percent (100%) of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan).
F4: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")), one forty-eighth (1/48th) of the shares subject to the option vested and became exercisable one month after the vesting commencement date of June 10, 2017, and an additional one forty-eighth (1/48th) of the shares vest and become exercisable at the end of each monthly period thereafter. One hundred percent (100%) of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan).
F5: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")), one forty-eighth (1/48th) of the shares subject to the option vested and became exercisable one month after the vesting commencement date of June 9, 2018, and an additional one forty-eighth (1/48th) of the shares vest and become exercisable at the end of each monthly period thereafter. One hundred percent (100%) of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan).
F6: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Vital Therapies, Inc. Common Stock.
F7: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan), twenty five percent (25%) of the RSUs vest annually after the vesting commencement date of January 11, 2019. One hundred percent (100%) of the unvested portion of the RSUs, if any, shall vest in the event of a Termination without Cause or Resignation for Good Reason (each as defined in the reporting person's Change of Control and Severance Agreement).
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Acer Therapeutics Inc.
Report date November 17, 2023 · Filed November 20, 2023
Section 16 reporting ended · disclosed 2023-11-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.0001 par value per shareSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-11-17 transaction · row 1
1 source rowRow 1 · 2023-11-17 · Disposition to issuer · Disposed 27,380 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 30, 2023, by and among Acer Therapeutics Inc., a Delaware corporation ("Issuer"), Zevra Therapeutics, Inc., a Delaware corporation ("Zevra"), and Aspen Z Merger Sub, Inc., a Delaware corporation and wholly-owned subsidiary of Zevra ("Merger Sub"), effective November 17, 2023 (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly-owned subsidiary of Zevra. F2: Pursuant to the Merger Agreement, at the Effective Time, each share of Issuer common stock, $0.0001 par value per share, issued and outstanding immediately prior to the Effective Time, was converted into the right to receive (i) 0.1210 fully paid and non-assessable shares of common stock of Zevra, par value $0.0001 per share, and (ii) one non-transferable contingent value right issued by Zevra, which entitles the holder to potentially receive their pro rata portion of contingent payments of (A) up to $76 million in cash upon the achievement of certain commercial and regulatory milestones for certain of Acer's products and (B) additional cash of an indeterminate amount, subject to achievement of milestones related to Acer's early-phase emetine program, and otherwise subject to and in accordance with the terms and conditions of the Contingent Value Rights Agreement, dated as of November 17, 2023, by and among Zevra, Computershare Inc. and Computershare Trust Company. F3: (Continued From Footnote 2) At the Effective Time, the closing price of one share of Zevra common stock was $4.34. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 30, 2023, by and among Acer Therapeutics Inc., a Delaware corporation ("Issuer"), Zevra Therapeutics, Inc., a Delaware corporation ("Zevra"), and Aspen Z Merger Sub, Inc., a Delaware corporation and wholly-owned subsidiary of Zevra ("Merger Sub"), effective November 17, 2023 (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly-owned subsidiary of Zevra.
F2: Pursuant to the Merger Agreement, at the Effective Time, each share of Issuer common stock, $0.0001 par value per share, issued and outstanding immediately prior to the Effective Time, was converted into the right to receive (i) 0.1210 fully paid and non-assessable shares of common stock of Zevra, par value $0.0001 per share, and (ii) one non-transferable contingent value right issued by Zevra, which entitles the holder to potentially receive their pro rata portion of contingent payments of (A) up to $76 million in cash upon the achievement of certain commercial and regulatory milestones for certain of Acer's products and (B) additional cash of an indeterminate amount, subject to achievement of milestones related to Acer's early-phase emetine program, and otherwise subject to and in accordance with the terms and conditions of the Contingent Value Rights Agreement, dated as of November 17, 2023, by and among Zevra, Computershare Inc. and Computershare Trust Company.
F3: (Continued From Footnote 2) At the Effective Time, the closing price of one share of Zevra common stock was $4.34.
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 |
|---|---|---|---|---|---|---|
| November 17, 2023 Filed Nov 20, 2023 17:07 UTC | Acer Therapeutics Inc. ACER · Entity 108116 | Disposition to issuerCommon Stock, $0.0001 par value per share | 27,380 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-23-020443 · doc4.xml · nonDerivative · entry 1 DUNN JOHN MICHAEL · CIK 0001238648 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · kind: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 30, 2023, by and among Acer Therapeutics Inc., a Delaware corporation ("Issuer"), Zevra Therapeutics, Inc., a Delaware corporation ("Zevra"), and Aspen Z Merger Sub, Inc., a Delaware corporation and wholly-owned subsidiary of Zevra ("Merger Sub"), effective November 17, 2023 (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly-owned subsidiary of Zevra. F2 · kind: Pursuant to the Merger Agreement, at the Effective Time, each share of Issuer common stock, $0.0001 par value per share, issued and outstanding immediately prior to the Effective Time, was converted into the right to receive (i) 0.1210 fully paid and non-assessable shares of common stock of Zevra, par value $0.0001 per share, and (ii) one non-transferable contingent value right issued by Zevra, which entitles the holder to potentially receive their pro rata portion of contingent payments of (A) up to $76 million in cash upon the achievement of certain commercial and regulatory milestones for certain of Acer's products and (B) additional cash of an indeterminate amount, subject to achievement of milestones related to Acer's early-phase emetine program, and otherwise subject to and in accordance with the terms and conditions of the Contingent Value Rights Agreement, dated as of November 17, 2023, by and among Zevra, Computershare Inc. and Computershare Trust Company. F3 · kind: (Continued From Footnote 2) At the Effective Time, the closing price of one share of Zevra common stock was $4.34. F1 · price: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 30, 2023, by and among Acer Therapeutics Inc., a Delaware corporation ("Issuer"), Zevra Therapeutics, Inc., a Delaware corporation ("Zevra"), and Aspen Z Merger Sub, Inc., a Delaware corporation and wholly-owned subsidiary of Zevra ("Merger Sub"), effective November 17, 2023 (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly-owned subsidiary of Zevra. F2 · price: Pursuant to the Merger Agreement, at the Effective Time, each share of Issuer common stock, $0.0001 par value per share, issued and outstanding immediately prior to the Effective Time, was converted into the right to receive (i) 0.1210 fully paid and non-assessable shares of common stock of Zevra, par value $0.0001 per share, and (ii) one non-transferable contingent value right issued by Zevra, which entitles the holder to potentially receive their pro rata portion of contingent payments of (A) up to $76 million in cash upon the achievement of certain commercial and regulatory milestones for certain of Acer's products and (B) additional cash of an indeterminate amount, subject to achievement of milestones related to Acer's early-phase emetine program, and otherwise subject to and in accordance with the terms and conditions of the Contingent Value Rights Agreement, dated as of November 17, 2023, by and among Zevra, Computershare Inc. and Computershare Trust Company. F3 · price: (Continued From Footnote 2) At the Effective Time, the closing price of one share of Zevra common stock was $4.34. Read SEC document |
| March 14, 2023 Filed Mar 16, 2023 16:35 UTC | Acer Therapeutics Inc. ACER · Entity 108116 | GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $1.67 | $0.00 |
DisclosureSEC source: 0001209191-23-019314 · doc4.xml · derivative · entry 1 DUNN JOHN MICHAEL · CIK 0001238648 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2033-03-14 F1 · derivative.exercise_date: The option, which is made as part of the Issuer's 2023 annual compensation cycle, vests and becomes exercisable in full on March 14, 2024. Read SEC document |
| January 14, 2022 Filed Jan 19, 2022 16:20 UTC | Acer Therapeutics Inc. ACER · Entity 108116 | GrantStock Option (right to buy) · Derivative | 18,500 | $0.00 Strike: $2.21 | $0.00 |
DisclosureSEC source: 0001209191-22-003715 · doc4.xml · derivative · entry 1 DUNN JOHN MICHAEL · CIK 0001238648 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,500 Underlying: Common Stock · 18,500 shares Expires 2032-01-14 F1 · derivative.exercise_date: The option vests and becomes exercisable in full on January 14, 2023. Read SEC document |
| January 15, 2021 Filed Jan 20, 2021 16:12 UTC | Acer Therapeutics Inc. ACER · Entity 108116 | GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $3.85 | $0.00 |
DisclosureSEC source: 0001209191-21-004268 · doc4.xml · derivative · entry 1 DUNN JOHN MICHAEL · CIK 0001238648 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2031-01-15 F1 · derivative.exercise_date: The option vests and becomes exercisable in full on January 15, 2022. Read SEC document |
| July 24, 2020 Filed Jul 28, 2020 09:01 UTC | Acer Therapeutics Inc. ACER · Entity 108116 | PurchaseCommon Stock | 21,428 | $3.50 | $74,998.00 |
DisclosureSEC source: 0001209191-20-043804 · doc4.xml · nonDerivative · entry 1 DUNN JOHN MICHAEL · CIK 0001238648 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,380 Read SEC document |
| January 02, 2020 Filed Jan 3, 2020 16:15 UTC | Acer Therapeutics Inc. ACER · Entity 108116 | GrantStock Option (right to buy) · Derivative | 9,000 | $0.00 Strike: $3.79 | $0.00 |
DisclosureSEC source: 0001209191-20-000887 · doc4.xml · derivative · entry 1 DUNN JOHN MICHAEL · CIK 0001238648 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,000 Underlying: Common Stock · 9,000 shares Expires 2030-01-02 F1 · derivative.exercise_date: The option vests and becomes exercisable in full on January 2, 2021. Read SEC document |
| February 01, 2019 Filed Feb 5, 2019 13:51 UTC | Acer Therapeutics Inc. ACER · Entity 108116 | GrantEmployee Stock Option (right to buy) · Derivative | 6,000 | $0.00 Strike: $24.46 | $0.00 |
DisclosureSEC source: 0001209191-19-007240 · doc4.xml · derivative · entry 1 DUNN JOHN MICHAEL · CIK 0001238648 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2029-02-01 F1 · derivative.exercise_date: The option vests and becomes exercisable in full on February 1, 2020. Read SEC document |
| January 11, 2019 Filed Jan 15, 2019 02:48 UTC | IMMUNIC, INC. VTL · Entity 6306 | GrantRestricted Stock Units · Derivative | 724,848 | $0.00 | $0.00 |
DisclosureSEC source: 0001280776-19-000015 · wf-form4_154752047327275.xml · derivative · entry 5 DUNN JOHN MICHAEL · CIK 0001238648 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 724,848 Underlying: Common Stock · 724,848 shares Expires not disclosed F6 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Vital Therapies, Inc. Common Stock. F7 · derivative.exercise_date: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan), twenty five percent (25%) of the RSUs vest annually after the vesting commencement date of January 11, 2019. One hundred percent (100%) of the unvested portion of the RSUs, if any, shall vest in the event of a Termination without Cause or Resignation for Good Reason (each as defined in the reporting person's Change of Control and Severance Agreement). F7 · derivative.expiration_date: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan), twenty five percent (25%) of the RSUs vest annually after the vesting commencement date of January 11, 2019. One hundred percent (100%) of the unvested portion of the RSUs, if any, shall vest in the event of a Termination without Cause or Resignation for Good Reason (each as defined in the reporting person's Change of Control and Severance Agreement). Read SEC document |
| January 11, 2019 Filed Jan 15, 2019 02:48 UTC | IMMUNIC, INC. VTL · Entity 6306 | Disposition to issuerStock Option (right to buy) · Derivative | 45,000 | $0.00 Strike: $5.00 | $0.00 |
DisclosureSEC source: 0001280776-19-000015 · wf-form4_154752047327275.xml · derivative · entry 4 DUNN JOHN MICHAEL · CIK 0001238648 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 45,000 shares Expires 2028-06-08 F2 · price: The option was cancelled by mutual agreement of the reporting person and Vital Therapies, Inc. The reporting person received a restricted stock unit award as reported in this Form 4 as consideration for this cancellation. F5 · derivative.exercise_date: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")), one forty-eighth (1/48th) of the shares subject to the option vested and became exercisable one month after the vesting commencement date of June 9, 2018, and an additional one forty-eighth (1/48th) of the shares vest and become exercisable at the end of each monthly period thereafter. One hundred percent (100%) of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan). Read SEC document |
| January 11, 2019 Filed Jan 15, 2019 02:48 UTC | IMMUNIC, INC. VTL · Entity 6306 | Disposition to issuerStock Option (right to buy) · Derivative | 45,000 | $0.00 Strike: $3.20 | $0.00 |
DisclosureSEC source: 0001280776-19-000015 · wf-form4_154752047327275.xml · derivative · entry 3 DUNN JOHN MICHAEL · CIK 0001238648 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 45,000 shares Expires 2027-06-09 F2 · price: The option was cancelled by mutual agreement of the reporting person and Vital Therapies, Inc. The reporting person received a restricted stock unit award as reported in this Form 4 as consideration for this cancellation. F4 · derivative.exercise_date: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")), one forty-eighth (1/48th) of the shares subject to the option vested and became exercisable one month after the vesting commencement date of June 10, 2017, and an additional one forty-eighth (1/48th) of the shares vest and become exercisable at the end of each monthly period thereafter. One hundred percent (100%) of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan). Read SEC document |
| January 11, 2019 Filed Jan 15, 2019 02:48 UTC | IMMUNIC, INC. VTL · Entity 6306 | Disposition to issuerStock Option (right to buy) · Derivative | 45,000 | $0.00 Strike: $8.28 | $0.00 |
DisclosureSEC source: 0001280776-19-000015 · wf-form4_154752047327275.xml · derivative · entry 2 DUNN JOHN MICHAEL · CIK 0001238648 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 45,000 shares Expires 2026-05-12 F2 · price: The option was cancelled by mutual agreement of the reporting person and Vital Therapies, Inc. The reporting person received a restricted stock unit award as reported in this Form 4 as consideration for this cancellation. F3 · derivative.exercise_date: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")), one forty-eighth (1/48th) of the shares subject to the option vested and became exercisable one month after the vesting commencement date of April 16, 2016, and an additional one forty-eighth (1/48th) of the shares vest and become exercisable at the end of each monthly period thereafter. One hundred percent (100%) of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan). Read SEC document |
| January 11, 2019 Filed Jan 15, 2019 02:48 UTC | IMMUNIC, INC. VTL · Entity 6306 | Disposition to issuerStock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $19.03 | $0.00 |
DisclosureSEC source: 0001280776-19-000015 · wf-form4_154752047327275.xml · derivative · entry 1 DUNN JOHN MICHAEL · CIK 0001238648 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,000 shares Expires 2024-11-16 F2 · price: The option was cancelled by mutual agreement of the reporting person and Vital Therapies, Inc. The reporting person received a restricted stock unit award as reported in this Form 4 as consideration for this cancellation. F1 · derivative.exercise_date: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")), one forty-eighth (1/48th) of the shares subject to the option vested and became exercisable one month after the vesting commencement date of November 17, 2014, and an additional one forty-eighth (1/48th) of the shares vest and become exercisable at the end of each monthly period thereafter. One hundred percent (100%) of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan). Read SEC document |
| June 09, 2018 Filed Jun 11, 2018 23:22 UTC | IMMUNIC, INC. VTL · Entity 6306 | GrantStock Option (right to buy) · Derivative | 45,000 | $0.00 Strike: $5.00 | $0.00 |
DisclosureSEC source: 0001280776-18-000068 · wf-form4_152875931831922.xml · derivative · entry 1 DUNN JOHN MICHAEL · CIK 0001238648 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 45,000 shares Expires 2028-06-08 F1 · derivative.exercise_date: One forty-eighth (1/48th) of the shares of common stock subject to the option shall vest monthly beginning on July 9, 2018, such that all of the shares of common stock subject to the option are vested by June 9, 2022, subject to the reporting person's continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")) through each vesting date; provided, that, 100% of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan). Read SEC document |
| October 04, 2017 Filed Oct 6, 2017 16:10 UTC | Acer Therapeutics Inc. ACER · Entity 108116 | GrantStock Option (right to buy) · Derivative | 6,000 | $0.00 Strike: $15.34 | $0.00 |
DisclosureSEC source: 0001654954-17-009222 · section16.xml · derivative · entry 1 DUNN JOHN MICHAEL · CIK 0001238648 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2027-10-04 F1 · derivative.exercise_date: The option vests and becomes exercisable in full on October 4, 2018. Read SEC document |
| September 19, 2017 Filed Sep 21, 2017 17:25 UTC | Acer Therapeutics Inc. ACER · Entity 108116 | OtherNonqualified Stock Option (right to buy) · Derivative | 16,000 | Not disclosed Strike: $2.55 | Not disclosed |
DisclosureSEC source: 0001654954-17-008688 · section16.xml · derivative · entry 2 DUNN JOHN MICHAEL · CIK 0001238648 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,000 Underlying: Common Stock · 16,000 shares Expires 2025-10-19 F2 · kind: Received in connection with the Merger in exchange for an option to acquire 16,000 shares of common stock of Private Acer. F2 · price: Received in connection with the Merger in exchange for an option to acquire 16,000 shares of common stock of Private Acer. F3 · derivative.exercise_date: Option vests in eight equal quarterly installments beginning on October 19, 2015. Read SEC document |
| September 19, 2017 Filed Sep 21, 2017 17:25 UTC | Acer Therapeutics Inc. ACER · Entity 108116 | OtherCommon Stock | 5,952 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001654954-17-008688 · section16.xml · nonDerivative · entry 1 DUNN JOHN MICHAEL · CIK 0001238648 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,952 F1 · kind: Received in connection with the Issuer's business combination (the "Merger") with what was then known as "Acer Therapeutics Inc." ("Private Acer") in accordance with the terms of the Agreement and Plan of Merger and Reorganization dated June 30, 2017 among the Issuer, Opexa Merger Sub, Inc. and Private Acer, in exchange for 5,952 shares of common stock of Private Acer. F1 · price: Received in connection with the Issuer's business combination (the "Merger") with what was then known as "Acer Therapeutics Inc." ("Private Acer") in accordance with the terms of the Agreement and Plan of Merger and Reorganization dated June 30, 2017 among the Issuer, Opexa Merger Sub, Inc. and Private Acer, in exchange for 5,952 shares of common stock of Private Acer. Read SEC document |
| June 14, 2017 Filed Jun 15, 2017 20:29 UTC | IMMUNIC, INC. VTL · Entity 6306 | PurchaseCommon Stock | 2,400 | $3.09 | $7,416.96 |
DisclosureSEC source: 0001280776-17-000075 · wf-form4_149755857797011.xml · nonDerivative · entry 2 DUNN JOHN MICHAEL · CIK 0001238648 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,885 Read SEC document |
| June 14, 2017 Filed Jun 15, 2017 20:29 UTC | IMMUNIC, INC. VTL · Entity 6306 | PurchaseCommon Stock | 100 | $3.08 | $307.50 |
DisclosureSEC source: 0001280776-17-000075 · wf-form4_149755857797011.xml · nonDerivative · entry 1 DUNN JOHN MICHAEL · CIK 0001238648 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,485 Read SEC document |
| June 10, 2017 Filed Jun 14, 2017 00:08 UTC | IMMUNIC, INC. VTL · Entity 6306 | GrantStock Option (right to buy) · Derivative | 45,000 | $0.00 Strike: $3.20 | $0.00 |
DisclosureSEC source: 0001280776-17-000064 · wf-form4_149739888526652.xml · derivative · entry 1 DUNN JOHN MICHAEL · CIK 0001238648 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 45,000 shares Expires 2027-06-09 F1 · derivative.exercise_date: One forty-eighth (1/48th) of the shares of common stock subject to the option shall vest monthly beginning on July 10, 2017, such that all of the shares of common stock subject to the option are vested by June 10, 2021, subject to the reporting person's continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")) through each vesting date; provided, that, 100% of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan). 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.