Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| EXICURE, INC.XCUR · Entity 8068 | Director | June 13, 2022 | June 15, 2022 |
| MOMENTA PHARMACEUTICALS INCMNTA · Entity 146313 | Director | June 19, 2019 | June 21, 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.
EXICURE, INC.
Report date June 13, 2022 · Filed June 15, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.13 · Expires 2032-06-12 | Direct | 50,000 |
Reported balance
After 2022-06-13 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-06-13 · Grant · Acquired 50,000 · Balance 50,000 F1: The shares subject to the option will vest as to 1/12th of the underlying shares monthly from the vesting commencement date of June 13, 2022, provided the Reporting Person remains in continuous service on each vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to the option will vest as to 1/12th of the underlying shares monthly from the vesting commencement date of June 13, 2022, provided the Reporting Person remains in continuous service on each vesting date.
MOMENTA PHARMACEUTICALS INC
Report date June 19, 2019 · Filed June 21, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 54,090 |
Reported balance
After 2019-06-20 transaction · row 1
1 source rowRow 1 · 2019-06-20 · Exercise / conversion · Acquired 4,356 · Balance 54,090 |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.64 · Expires 2029-06-19 | Direct | 25,000 |
Reported balance
After 2019-06-19 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-06-19 · Grant · Acquired 25,000 · Balance 25,000 F1: Represents an option granted by the Company pursuant to the Company's 2013 Incentive Award Plan. The stock option will vest and become exercisable on the first anniversary of the grant date. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-06-20 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-06-20 · Exercise / conversion · Disposed 4,356 · Balance 0 F2: Restricted Stock Units convert into common stock on a one-for-one basis. F3: Subject to certain criteria, 100% of the restricted stock units shall vest on the first anniversary of the grant date. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents an option granted by the Company pursuant to the Company's 2013 Incentive Award Plan. The stock option will vest and become exercisable on the first anniversary of the grant date.
F2: Restricted Stock Units convert into common stock on a one-for-one basis.
F3: Subject to certain criteria, 100% of the restricted stock units shall vest on the first anniversary of the grant date.
Past disclosures · reporting ended (3)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
AMAG PHARMACEUTICALS, INC.
Report date November 16, 2020 · Filed November 17, 2020
Section 16 reporting ended · disclosed 2020-11-17. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-11-16 transaction · row 1
1 source rowRow 1 · 2020-11-16 · Disposition to issuer · Disposed 35,090 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of October 1, 2020, by and among the Issuer, Covis Group S.a.r.l. ("Parent"), and Covis Mergerco Inc., a direct wholly owned subsidiary of Parent ("Merger Sub"), and (in respect of specific matters) Covis Finco S.a r.l., pursuant to which Merger Sub merged with and into the Issuer (the "Merger") effective as of November 16, 2020 (the "Effective Time"). Immediately prior to the Effective Time, each issued and outstanding share of common stock of the Issuer (each, a "Share") was cancelled and converted into the right to receive $13.75 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes. F2: A portion of this amount consists of unvested restricted stock units ("RSUs"). Each Company RSU that is outstanding immediately prior to the Effective Time, whether vested or unvested, was cancelled and automatically converted into the right to receive for each Share underlying such RSU, without interest and subject to deduction for any required withholding taxes, an amount in cash from Parent or the Issuer equal to the Merger Consideration. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-11-16 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-11-16 · Disposition to issuer · Disposed 6,000 · Balance 0 F3: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-11-16 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-11-16 · Disposition to issuer · Disposed 317 · Balance 0 F3: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-11-16 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-11-16 · Disposition to issuer · Disposed 3,800 · Balance 0 F3: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-11-16 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-11-16 · Disposition to issuer · Disposed 3,575 · Balance 0 F3: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-11-16 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-11-16 · Disposition to issuer · Disposed 12,787 · Balance 0 F3: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-11-16 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2020-11-16 · Disposition to issuer · Disposed 10,110 · Balance 0 F3: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-11-16 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2020-11-16 · Disposition to issuer · Disposed 7,543 · Balance 0 F3: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-11-16 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2020-11-16 · Disposition to issuer · Disposed 17,326 · Balance 0 F3: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-11-16 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2020-11-16 · Disposition to issuer · Disposed 21,289 · Balance 0 F3: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of October 1, 2020, by and among the Issuer, Covis Group S.a.r.l. ("Parent"), and Covis Mergerco Inc., a direct wholly owned subsidiary of Parent ("Merger Sub"), and (in respect of specific matters) Covis Finco S.a r.l., pursuant to which Merger Sub merged with and into the Issuer (the "Merger") effective as of November 16, 2020 (the "Effective Time"). Immediately prior to the Effective Time, each issued and outstanding share of common stock of the Issuer (each, a "Share") was cancelled and converted into the right to receive $13.75 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes.
F2: A portion of this amount consists of unvested restricted stock units ("RSUs"). Each Company RSU that is outstanding immediately prior to the Effective Time, whether vested or unvested, was cancelled and automatically converted into the right to receive for each Share underlying such RSU, without interest and subject to deduction for any required withholding taxes, an amount in cash from Parent or the Issuer equal to the Merger Consideration.
F3: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.
Arch Therapeutics, Inc.
Report date September 27, 2021 · Filed October 01, 2021
Section 16 reporting ended · disclosed 2021-10-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.10 · Expires 2031-09-26 | Direct | 250,000 |
Reported balance
After 2021-09-27 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-09-27 · Grant · Acquired 250,000 · Balance 250,000 F1: The option was granted pursuant to the Issuer's 2013 Stock Incentive Plan (the "Plan"). The option shall vest equally on each of the first 36 month anniversaries of the grant date, subject to continued service to the Issuer through each vesting date. In the event of a Change of Control (as such term is defined in the Plan), 100% of the number of unvested shares then subject to the option shall accelerate and become immediately exercisable. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.10 · Expires 2031-09-26 | Direct | 250,000 |
Reported balance
After 2021-09-27 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-09-27 · Grant · Acquired 250,000 · Balance 250,000 F2: The option was granted pursuant to the Plan. 1/3 of the option vested on the grant date and the remainder of the option shall vest equally on each of the first 24 month anniversaries of the grant date, subject to continued service to the Issuer through each vesting date. In the event of a Change of Control (as such term is defined in the Plan), 100% of the number of unvested shares then subject to the option shall accelerate and become immediately exercisable. |
Filing footnotes · ownership attribution and instrument terms
F1: The option was granted pursuant to the Issuer's 2013 Stock Incentive Plan (the "Plan"). The option shall vest equally on each of the first 36 month anniversaries of the grant date, subject to continued service to the Issuer through each vesting date. In the event of a Change of Control (as such term is defined in the Plan), 100% of the number of unvested shares then subject to the option shall accelerate and become immediately exercisable.
F2: The option was granted pursuant to the Plan. 1/3 of the option vested on the grant date and the remainder of the option shall vest equally on each of the first 24 month anniversaries of the grant date, subject to continued service to the Issuer through each vesting date. In the event of a Change of Control (as such term is defined in the Plan), 100% of the number of unvested shares then subject to the option shall accelerate and become immediately exercisable.
Keenova Therapeutics plc
Report date November 14, 2023 · Filed November 16, 2023
Section 16 reporting ended · disclosed 2023-11-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-11-14 transaction · row 1
1 source rowRow 1 · 2023-11-14 · Disposition to issuer · Disposed 53,122 · Balance 0 F1: On August 28, 2023, Mallinckrodt plc (the "Company") and certain of its subsidiaries voluntarily initiated proceedings under chapter 11 of title 11 of the United States Code in the U.S. Bankruptcy Court for the District of Delaware (the "Bankruptcy Court"). On September 20, 2023, the Company's directors presented a petition before the High Court of Ireland (the "Irish High Court") seeking the appointment of an examiner (the "Examiner") to the Company, thereby commencing examinership proceedings with respect to the Company in Ireland. F2: On October 10, 2023, the Bankruptcy Court entered an order confirming the First Amended Prepackaged Joint Chapter 11 Plan of Reorganization of Mallinckrodt Plc and Its Debtor Affiliates (as may be amended or supplemented from time to time in accordance with its terms, the "Plan"). On November 10, 2023, the Irish High Court made an order confirming a scheme of arrangement proposed by the Examiner that is based on and consistent in all respects with the Plan (the "Scheme"). On November 14, 2023 (the "Effective Date"), the Plan and the Scheme became effective and the Company emerged from bankruptcy. F3: On the Effective Date, all of the Company's previously outstanding ordinary shares (the "Ordinary Shares"), including options, warrants, rights, restricted stock units or other securities or agreements to acquire such Ordinary Shares, were cancelled and extinguished pursuant to the Plan and the Scheme. In connection with emergence, the reporting person ceased to be a Section 16 reporting person. This Form 4 constitutes a notice to the Issuer for purposes of Part V of the Companies Act 2014. |
Filing footnotes · ownership attribution and instrument terms
F1: On August 28, 2023, Mallinckrodt plc (the "Company") and certain of its subsidiaries voluntarily initiated proceedings under chapter 11 of title 11 of the United States Code in the U.S. Bankruptcy Court for the District of Delaware (the "Bankruptcy Court"). On September 20, 2023, the Company's directors presented a petition before the High Court of Ireland (the "Irish High Court") seeking the appointment of an examiner (the "Examiner") to the Company, thereby commencing examinership proceedings with respect to the Company in Ireland.
F2: On October 10, 2023, the Bankruptcy Court entered an order confirming the First Amended Prepackaged Joint Chapter 11 Plan of Reorganization of Mallinckrodt Plc and Its Debtor Affiliates (as may be amended or supplemented from time to time in accordance with its terms, the "Plan"). On November 10, 2023, the Irish High Court made an order confirming a scheme of arrangement proposed by the Examiner that is based on and consistent in all respects with the Plan (the "Scheme"). On November 14, 2023 (the "Effective Date"), the Plan and the Scheme became effective and the Company emerged from bankruptcy.
F3: On the Effective Date, all of the Company's previously outstanding ordinary shares (the "Ordinary Shares"), including options, warrants, rights, restricted stock units or other securities or agreements to acquire such Ordinary Shares, were cancelled and extinguished pursuant to the Plan and the Scheme. In connection with emergence, the reporting person ceased to be a Section 16 reporting person. This Form 4 constitutes a notice to the Issuer for purposes of Part V of the Companies Act 2014.
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 14, 2023 Filed Nov 16, 2023 16:12 UTC | Keenova Therapeutics plc MNKTQ · Entity 28960 | Disposition to issuerOrdinary Shares | 53,122 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-119106 · tm2330745-16_4seq1.xml · nonDerivative · entry 1 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F1 · kind: On August 28, 2023, Mallinckrodt plc (the "Company") and certain of its subsidiaries voluntarily initiated proceedings under chapter 11 of title 11 of the United States Code in the U.S. Bankruptcy Court for the District of Delaware (the "Bankruptcy Court"). On September 20, 2023, the Company's directors presented a petition before the High Court of Ireland (the "Irish High Court") seeking the appointment of an examiner (the "Examiner") to the Company, thereby commencing examinership proceedings with respect to the Company in Ireland. F2 · kind: On October 10, 2023, the Bankruptcy Court entered an order confirming the First Amended Prepackaged Joint Chapter 11 Plan of Reorganization of Mallinckrodt Plc and Its Debtor Affiliates (as may be amended or supplemented from time to time in accordance with its terms, the "Plan"). On November 10, 2023, the Irish High Court made an order confirming a scheme of arrangement proposed by the Examiner that is based on and consistent in all respects with the Plan (the "Scheme"). On November 14, 2023 (the "Effective Date"), the Plan and the Scheme became effective and the Company emerged from bankruptcy. F3 · kind: On the Effective Date, all of the Company's previously outstanding ordinary shares (the "Ordinary Shares"), including options, warrants, rights, restricted stock units or other securities or agreements to acquire such Ordinary Shares, were cancelled and extinguished pursuant to the Plan and the Scheme. In connection with emergence, the reporting person ceased to be a Section 16 reporting person. This Form 4 constitutes a notice to the Issuer for purposes of Part V of the Companies Act 2014. Read SEC document |
| June 16, 2023 Filed Jun 29, 2023 18:50 UTC | Keenova Therapeutics plc MNK · Entity 28960 | Disposition to issuerOrdinary Shares | 26,277 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-23-076465 · tm2320181-8_4seq1.xml · nonDerivative · entry 2 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 53,122 F1 · shares: The restricted stock units (the "RSUs") granted to the reporting person on January 3, 2023 were canceled by mutual agreement of the reporting person and Mallinckrodt plc ("Mallinckrodt") in connection with the Board of Directors (the "Board") of Mallinckrodt's approval of changes to the compensation of non-employee members of the Board (such changes, the "Compensation Changes"). In connection with the Compensation Changes, and in consideration of the cancelation of the RSUs, the reporting person will receive (i) in the event of a bankruptcy filing, additional cash compensation for 2023 of $210,000 or (ii) in the absence of a bankruptcy filing, additional cash compensation for 2023 of $245,000. In either event, the amounts are to be prepaid pro rata on a quarterly basis and paid in arrears for the prior quarters of fiscal year 2023. F1 · price: The restricted stock units (the "RSUs") granted to the reporting person on January 3, 2023 were canceled by mutual agreement of the reporting person and Mallinckrodt plc ("Mallinckrodt") in connection with the Board of Directors (the "Board") of Mallinckrodt's approval of changes to the compensation of non-employee members of the Board (such changes, the "Compensation Changes"). In connection with the Compensation Changes, and in consideration of the cancelation of the RSUs, the reporting person will receive (i) in the event of a bankruptcy filing, additional cash compensation for 2023 of $210,000 or (ii) in the absence of a bankruptcy filing, additional cash compensation for 2023 of $245,000. In either event, the amounts are to be prepaid pro rata on a quarterly basis and paid in arrears for the prior quarters of fiscal year 2023. F1 · balance_after: The restricted stock units (the "RSUs") granted to the reporting person on January 3, 2023 were canceled by mutual agreement of the reporting person and Mallinckrodt plc ("Mallinckrodt") in connection with the Board of Directors (the "Board") of Mallinckrodt's approval of changes to the compensation of non-employee members of the Board (such changes, the "Compensation Changes"). In connection with the Compensation Changes, and in consideration of the cancelation of the RSUs, the reporting person will receive (i) in the event of a bankruptcy filing, additional cash compensation for 2023 of $210,000 or (ii) in the absence of a bankruptcy filing, additional cash compensation for 2023 of $245,000. In either event, the amounts are to be prepaid pro rata on a quarterly basis and paid in arrears for the prior quarters of fiscal year 2023. Read SEC document |
| June 16, 2023 Filed Jun 29, 2023 18:50 UTC | Keenova Therapeutics plc MNK · Entity 28960 | Tax withholdingOrdinary Shares | 3,154 | $1.28 | $4,037.12 |
DisclosureSEC source: 0001104659-23-076465 · tm2320181-8_4seq1.xml · nonDerivative · entry 1 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 79,399 Read SEC document |
| March 15, 2023 Filed Mar 16, 2023 16:05 UTC | Keenova Therapeutics plc MNK · Entity 28960 | PurchaseOrdinary Shares | 15,000 | $8.54 | $128,155.50 |
DisclosureSEC source: 0001104659-23-033302 · tm239775-2_4seq1.xml · nonDerivative · entry 2 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,553 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.47 to $8.67, inclusive. Read SEC document |
| March 14, 2023 Filed Mar 16, 2023 16:05 UTC | Keenova Therapeutics plc MNK · Entity 28960 | PurchaseOrdinary Shares | 15,000 | $8.42 | $126,319.50 |
DisclosureSEC source: 0001104659-23-033302 · tm239775-2_4seq1.xml · nonDerivative · entry 1 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,553 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.23 to $8.75, inclusive. The reporting person undertakes to provide to Mallinckrodt plc, any security holder of Mallinckrodt plc, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnotes 1 and 2 to this Form 4. Read SEC document |
| January 03, 2023 Filed Jan 5, 2023 18:01 UTC | Keenova Therapeutics plc MNK · Entity 28960 | GrantOrdinary Shares | 26,277 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-001541 · tm231710-3_4seq1.xml · nonDerivative · entry 1 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,553 F1 · shares: The reported ordinary shares represent restricted stock units ("RSUs"), which will be settled in an equal number of MNK ordinary shares and will vest ratably on each of the first two anniversaries of MNK's emergence from Chapter 11 proceedings on June 16, 2022. F2 · balance_after: The reporting person has reported prior awards of RSUs in Table II of Form 4. The total reported in Column 5 includes the 26,277 newly awarded RSUs and 26,276 RSUs previously reported in Table II. Read SEC document |
| August 16, 2022 Filed Sep 14, 2022 21:16 UTC | Keenova Therapeutics plc MNKPF · Entity 28960 | Disposition to issuerRestricted Stock Units · Derivative | 22,533 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-22-100151 · tm2225913-4_4seq1.xml · derivative · entry 1 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,276 Underlying: Ordinary Shares · 22,533 shares Expires not disclosed F1 · derivative.exercise_price: As previously disclosed, on August 16, 2022, James R. Sulat agreed to relinquish 22,533 of the restricted stock units ("RSUs") which were previously granted to him on July 1, 2022, with relinquishment to be applied ratably across both vesting tranches of such award, to remedy ministerial errors in computation and to correct for the fact that the RSU grant may have as a technical matter exceeded the applicable annual grant maximum amount set forth in the Mallinckrodt Pharmaceuticals 2022 Stock and Incentive Plan (the "MIP"). Mallinckrodt plc ("Mallinckrodt") has agreed that, as soon as reasonably practical following January 1, 2023, Mallinckrodt will grant to Mr. Sulat 26,277 RSUs, subject to his continued service through such date and the MIP grant value limit, which will vest ratably on each of the first two anniversaries of emergence. F1 · derivative.exercise_date: As previously disclosed, on August 16, 2022, James R. Sulat agreed to relinquish 22,533 of the restricted stock units ("RSUs") which were previously granted to him on July 1, 2022, with relinquishment to be applied ratably across both vesting tranches of such award, to remedy ministerial errors in computation and to correct for the fact that the RSU grant may have as a technical matter exceeded the applicable annual grant maximum amount set forth in the Mallinckrodt Pharmaceuticals 2022 Stock and Incentive Plan (the "MIP"). Mallinckrodt plc ("Mallinckrodt") has agreed that, as soon as reasonably practical following January 1, 2023, Mallinckrodt will grant to Mr. Sulat 26,277 RSUs, subject to his continued service through such date and the MIP grant value limit, which will vest ratably on each of the first two anniversaries of emergence. F1 · derivative.expiration_date: As previously disclosed, on August 16, 2022, James R. Sulat agreed to relinquish 22,533 of the restricted stock units ("RSUs") which were previously granted to him on July 1, 2022, with relinquishment to be applied ratably across both vesting tranches of such award, to remedy ministerial errors in computation and to correct for the fact that the RSU grant may have as a technical matter exceeded the applicable annual grant maximum amount set forth in the Mallinckrodt Pharmaceuticals 2022 Stock and Incentive Plan (the "MIP"). Mallinckrodt plc ("Mallinckrodt") has agreed that, as soon as reasonably practical following January 1, 2023, Mallinckrodt will grant to Mr. Sulat 26,277 RSUs, subject to his continued service through such date and the MIP grant value limit, which will vest ratably on each of the first two anniversaries of emergence. Read SEC document |
| July 01, 2022 Filed Jul 6, 2022 21:08 UTC | Keenova Therapeutics plc MNKPF · Entity 28960 | GrantRestricted Stock Units · Derivative | 48,809 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-025533 · doc4.xml · derivative · entry 1 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,809 Underlying: Ordinary Shares · 48,809 shares Expires not disclosed F1 · derivative.exercise_price: The grant of restricted stock units vests in equal installments on each of the first and second anniversaries of the date of Mallinckrodt plc's emergence from bankruptcy (June 16, 2022). Each restricted stock unit represents one Ordinary Share, and may be redeemed in either cash or stock. F1 · derivative.exercise_date: The grant of restricted stock units vests in equal installments on each of the first and second anniversaries of the date of Mallinckrodt plc's emergence from bankruptcy (June 16, 2022). Each restricted stock unit represents one Ordinary Share, and may be redeemed in either cash or stock. F1 · derivative.expiration_date: The grant of restricted stock units vests in equal installments on each of the first and second anniversaries of the date of Mallinckrodt plc's emergence from bankruptcy (June 16, 2022). Each restricted stock unit represents one Ordinary Share, and may be redeemed in either cash or stock. Read SEC document |
| June 13, 2022 Filed Jun 15, 2022 16:19 UTC | EXICURE, INC. XCUR · Entity 8068 | GrantEmployee Stock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $0.13 | $0.00 |
DisclosureSEC source: 0001209191-22-036945 · doc4.xml · derivative · entry 1 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2032-06-12 F1 · derivative.exercise_date: The shares subject to the option will vest as to 1/12th of the underlying shares monthly from the vesting commencement date of June 13, 2022, provided the Reporting Person remains in continuous service on each vesting date. Read SEC document |
| September 27, 2021 Filed Oct 1, 2021 08:14 UTC | Arch Therapeutics, Inc. ARTH · Entity 109849 | GrantStock Option (right to buy) · Derivative | 250,000 | $0.00 Strike: $0.10 | $0.00 |
DisclosureSEC source: 0001104659-21-121634 · tm2129012d3_4.xml · derivative · entry 2 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 shares Expires 2031-09-26 F2 · derivative.exercise_date: The option was granted pursuant to the Plan. 1/3 of the option vested on the grant date and the remainder of the option shall vest equally on each of the first 24 month anniversaries of the grant date, subject to continued service to the Issuer through each vesting date. In the event of a Change of Control (as such term is defined in the Plan), 100% of the number of unvested shares then subject to the option shall accelerate and become immediately exercisable. Read SEC document |
| September 27, 2021 Filed Oct 1, 2021 08:14 UTC | Arch Therapeutics, Inc. ARTH · Entity 109849 | GrantStock Option (right to buy) · Derivative | 250,000 | $0.00 Strike: $0.10 | $0.00 |
DisclosureSEC source: 0001104659-21-121634 · tm2129012d3_4.xml · derivative · entry 1 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 shares Expires 2031-09-26 F1 · derivative.exercise_date: The option was granted pursuant to the Issuer's 2013 Stock Incentive Plan (the "Plan"). The option shall vest equally on each of the first 36 month anniversaries of the grant date, subject to continued service to the Issuer through each vesting date. In the event of a Change of Control (as such term is defined in the Plan), 100% of the number of unvested shares then subject to the option shall accelerate and become immediately exercisable. Read SEC document |
| June 02, 2021 Filed Jun 4, 2021 17:20 UTC | EXICURE, INC. XCUR · Entity 8068 | GrantStock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $1.71 | $0.00 |
DisclosureSEC source: 0001209191-21-038326 · doc4.xml · derivative · entry 1 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2031-06-01 F1 · derivative.exercise_date: The shares subject to the option will vest as to 1/12th of the underlying shares monthly from the vesting commencement date of June 2, 2021, provided the Reporting Person remains in continuous service on each vesting date. Read SEC document |
| January 02, 2021 Filed Jan 5, 2021 16:46 UTC | EXICURE, INC. XCUR · Entity 8068 | GrantStock Option (right to buy) · Derivative | 43,386 | $0.00 Strike: $1.82 | $0.00 |
DisclosureSEC source: 0001209191-21-001201 · doc4.xml · derivative · entry 1 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,386 Underlying: Common Stock · 43,386 shares Expires 2031-01-01 F1 · derivative.exercise_date: The shares subject to the option vest in 36 substantially equal monthly installments from the vesting commencement date of January 2, 2021, subject to the Reporting Person's continued service through the applicable vesting date. Read SEC document |
| November 16, 2020 Filed Nov 17, 2020 15:45 UTC | AMAG PHARMACEUTICALS, INC. AMAG · Entity 145305 | Disposition to issuerStock Option (Right to Buy) · Derivative | 21,289 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-126327 · a4.xml · derivative · entry 10 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 21,289 shares Expires not disclosed F3 · derivative.exercise_price: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. F3 · price: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. F3 · derivative.exercise_date: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. F3 · derivative.expiration_date: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. Read SEC document |
| November 16, 2020 Filed Nov 17, 2020 15:45 UTC | AMAG PHARMACEUTICALS, INC. AMAG · Entity 145305 | Disposition to issuerStock Option (Right to Buy) · Derivative | 17,326 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-126327 · a4.xml · derivative · entry 9 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 17,326 shares Expires not disclosed F3 · derivative.exercise_price: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. F3 · price: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. F3 · derivative.exercise_date: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. F3 · derivative.expiration_date: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. Read SEC document |
| November 16, 2020 Filed Nov 17, 2020 15:45 UTC | AMAG PHARMACEUTICALS, INC. AMAG · Entity 145305 | Disposition to issuerStock Option (Right to Buy) · Derivative | 7,543 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-126327 · a4.xml · derivative · entry 8 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,543 shares Expires not disclosed F3 · derivative.exercise_price: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. F3 · price: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. F3 · derivative.exercise_date: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. F3 · derivative.expiration_date: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. Read SEC document |
| November 16, 2020 Filed Nov 17, 2020 15:45 UTC | AMAG PHARMACEUTICALS, INC. AMAG · Entity 145305 | Disposition to issuerStock Option (Right to Buy) · Derivative | 10,110 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-126327 · a4.xml · derivative · entry 7 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,110 shares Expires not disclosed F3 · derivative.exercise_price: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. F3 · price: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. F3 · derivative.exercise_date: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. F3 · derivative.expiration_date: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. Read SEC document |
| November 16, 2020 Filed Nov 17, 2020 15:45 UTC | AMAG PHARMACEUTICALS, INC. AMAG · Entity 145305 | Disposition to issuerStock Option (Right to Buy) · Derivative | 12,787 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-126327 · a4.xml · derivative · entry 6 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,787 shares Expires not disclosed F3 · derivative.exercise_price: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. F3 · price: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. F3 · derivative.exercise_date: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. F3 · derivative.expiration_date: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. Read SEC document |
| November 16, 2020 Filed Nov 17, 2020 15:45 UTC | AMAG PHARMACEUTICALS, INC. AMAG · Entity 145305 | Disposition to issuerStock Option (Right to Buy) · Derivative | 3,575 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-126327 · a4.xml · derivative · entry 5 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,575 shares Expires not disclosed F3 · derivative.exercise_price: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. F3 · price: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. F3 · derivative.exercise_date: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. F3 · derivative.expiration_date: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. Read SEC document |
| November 16, 2020 Filed Nov 17, 2020 15:45 UTC | AMAG PHARMACEUTICALS, INC. AMAG · Entity 145305 | Disposition to issuerStock Option (Right to Buy) · Derivative | 3,800 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-126327 · a4.xml · derivative · entry 4 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,800 shares Expires not disclosed F3 · derivative.exercise_price: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. F3 · price: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. F3 · derivative.exercise_date: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. F3 · derivative.expiration_date: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. Read SEC document |
| November 16, 2020 Filed Nov 17, 2020 15:45 UTC | AMAG PHARMACEUTICALS, INC. AMAG · Entity 145305 | Disposition to issuerStock Option (Right to Buy) · Derivative | 317 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-126327 · a4.xml · derivative · entry 3 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 317 shares Expires not disclosed F3 · derivative.exercise_price: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. F3 · price: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. F3 · derivative.exercise_date: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. F3 · derivative.expiration_date: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. Read SEC document |
| November 16, 2020 Filed Nov 17, 2020 15:45 UTC | AMAG PHARMACEUTICALS, INC. AMAG · Entity 145305 | Disposition to issuerStock Option (Right to Buy) · Derivative | 6,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-126327 · a4.xml · derivative · entry 2 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,000 shares Expires not disclosed F3 · derivative.exercise_price: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. F3 · price: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. F3 · derivative.exercise_date: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. F3 · derivative.expiration_date: Immediately prior to the Effective Time, each Company option that was outstanding (whether vested or unvested) and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Company option (any such Company option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Company option, without interest and subject to deduction for any required withholding under applicable tax law, an amount in cash from Parent or the Issuer equal to the excess of the Merger Consideration over the per share exercise price of such Company option. All Company options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration. Read SEC document |
| November 16, 2020 Filed Nov 17, 2020 15:45 UTC | AMAG PHARMACEUTICALS, INC. AMAG · Entity 145305 | Disposition to issuerCommon Stock | 35,090 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-126327 · a4.xml · nonDerivative · entry 1 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of October 1, 2020, by and among the Issuer, Covis Group S.a.r.l. ("Parent"), and Covis Mergerco Inc., a direct wholly owned subsidiary of Parent ("Merger Sub"), and (in respect of specific matters) Covis Finco S.a r.l., pursuant to which Merger Sub merged with and into the Issuer (the "Merger") effective as of November 16, 2020 (the "Effective Time"). Immediately prior to the Effective Time, each issued and outstanding share of common stock of the Issuer (each, a "Share") was cancelled and converted into the right to receive $13.75 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes. F2 · shares: A portion of this amount consists of unvested restricted stock units ("RSUs"). Each Company RSU that is outstanding immediately prior to the Effective Time, whether vested or unvested, was cancelled and automatically converted into the right to receive for each Share underlying such RSU, without interest and subject to deduction for any required withholding taxes, an amount in cash from Parent or the Issuer equal to the Merger Consideration. F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of October 1, 2020, by and among the Issuer, Covis Group S.a.r.l. ("Parent"), and Covis Mergerco Inc., a direct wholly owned subsidiary of Parent ("Merger Sub"), and (in respect of specific matters) Covis Finco S.a r.l., pursuant to which Merger Sub merged with and into the Issuer (the "Merger") effective as of November 16, 2020 (the "Effective Time"). Immediately prior to the Effective Time, each issued and outstanding share of common stock of the Issuer (each, a "Share") was cancelled and converted into the right to receive $13.75 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes. F2 · price: A portion of this amount consists of unvested restricted stock units ("RSUs"). Each Company RSU that is outstanding immediately prior to the Effective Time, whether vested or unvested, was cancelled and automatically converted into the right to receive for each Share underlying such RSU, without interest and subject to deduction for any required withholding taxes, an amount in cash from Parent or the Issuer equal to the Merger Consideration. Read SEC document |
| June 22, 2020 Filed Jun 23, 2020 07:59 UTC | Arch Therapeutics, Inc. ARTH · Entity 109849 | PurchaseSeries J Warrant (right to buy) · Derivative | 340,910 | $0.00 Strike: $0.25 | $0.00 |
DisclosureSEC source: 0001104659-20-075860 · tm2023170-1_4.xml · derivative · entry 4 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 340,910 Underlying: Common Stock · 340,910 shares Expires 2021-06-22 F4 · security: Series J Warrants issued upon the exercise of and payment for all Series D warrants. F3 · ownership.direct: Held indirectly by the Keyes Sulat Revocable Trust, of which Mr. Sulat and his spouse are the trustees and the members of Mr. Sulat's immediately family are the beneficiaries. F3 · ownership.nature: Held indirectly by the Keyes Sulat Revocable Trust, of which Mr. Sulat and his spouse are the trustees and the members of Mr. Sulat's immediately family are the beneficiaries. Read SEC document |
| June 22, 2020 Filed Jun 23, 2020 07:59 UTC | Arch Therapeutics, Inc. ARTH · Entity 109849 | OtherSeries D Warrant (right to buy) · Derivative | 454,546 | $0.00 Strike: $0.18 | $0.00 |
DisclosureSEC source: 0001104659-20-075860 · tm2023170-1_4.xml · derivative · entry 3 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 454,546 shares Expires 2020-06-30 F1 · security: Of the Shares purchased, all are from the exercise of Series D Warrants originally issued as part of a private placement that was concluded on July 2, 2015 and originally issued with an exercise price of $0.25. On June 3, 2020, among other items, the exercise price of the Series D Warrants was amended to $0.18. F3 · ownership.direct: Held indirectly by the Keyes Sulat Revocable Trust, of which Mr. Sulat and his spouse are the trustees and the members of Mr. Sulat's immediately family are the beneficiaries. F3 · ownership.nature: Held indirectly by the Keyes Sulat Revocable Trust, of which Mr. Sulat and his spouse are the trustees and the members of Mr. Sulat's immediately family are the beneficiaries. Read SEC document |
| June 22, 2020 Filed Jun 23, 2020 07:59 UTC | Arch Therapeutics, Inc. ARTH · Entity 109849 | OtherCommon Stock | 454,546 | $81,818.28 | $37,190,171,900.88 |
DisclosureSEC source: 0001104659-20-075860 · tm2023170-1_4.xml · nonDerivative · entry 1 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,376,813 F1 · security: Of the Shares purchased, all are from the exercise of Series D Warrants originally issued as part of a private placement that was concluded on July 2, 2015 and originally issued with an exercise price of $0.25. On June 3, 2020, among other items, the exercise price of the Series D Warrants was amended to $0.18. F2 · balance_after: Excludes (a) 41,666 shares of our Common Stock held by the Brenna Keyes Sulat Irrevocable Trust; and, (b) 41,666 shares of our Common Stock held by the Nathaniel Keyes Sulat Irrevocable Trust. Mr. Sulat is a co-trustee of each of the Trusts along with his wife. F3 · ownership.direct: Held indirectly by the Keyes Sulat Revocable Trust, of which Mr. Sulat and his spouse are the trustees and the members of Mr. Sulat's immediately family are the beneficiaries. F3 · ownership.nature: Held indirectly by the Keyes Sulat Revocable Trust, of which Mr. Sulat and his spouse are the trustees and the members of Mr. Sulat's immediately family are the beneficiaries. Read SEC document |
| June 02, 2020 Filed Jun 4, 2020 16:49 UTC | AMAG PHARMACEUTICALS, INC. AMAG · Entity 145305 | GrantStock Option (Right to Buy) · Derivative | 21,289 | Not disclosed Strike: $8.52 | Not disclosed |
DisclosureSEC source: 0000792977-20-000059 · wf-form4_159130375405708.xml · derivative · entry 2 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,289 Underlying: Common Stock · 21,289 shares Expires 2030-06-02 F2 · price: Not applicable. F3 · derivative.exercise_date: Grant of stock option pursuant to the Plan. This option will vest and become exercisable in twelve equal monthly installments over one year beginning on the first day of the first full month following the Issuer's 2020 annual meeting of stockholders. Read SEC document |
| June 02, 2020 Filed Jun 4, 2020 16:49 UTC | AMAG PHARMACEUTICALS, INC. AMAG · Entity 145305 | GrantCommon Stock | 10,269 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000792977-20-000059 · wf-form4_159130375405708.xml · nonDerivative · entry 1 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,090 F1 · shares: Each restricted stock unit represents a contingent right to receive one share of Common Stock of AMAG Pharmaceuticals, Inc. (the "Issuer"). These shares of Common Stock are issuable pursuant to a grant of restricted stock units pursuant to the Issuer's 2019 Equity Incentive Plan (the "Plan") that will vest in twelve equal monthly installments over one year beginning on the first day of the first full month following the Issuer's 2020 annual meeting of stockholders; however, delivery of the shares is deferred until the earlier of (a) a Change in Control (as defined in the Issuer's Non-Employee Directors' Deferred Compensation Program) of the Issuer and (b) the date of the director's separation from service to the Issuer. F2 · price: Not applicable. Read SEC document |
| December 20, 2019 Filed Dec 23, 2019 08:33 UTC | Arch Therapeutics, Inc. ARTH · Entity 109849 | GrantStock Option (right to buy) · Derivative | 300,000 | $0.00 Strike: $0.23 | $0.00 |
DisclosureSEC source: 0001104659-19-075321 · tm1926824-3_4.xml · derivative · entry 1 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Stock · 300,000 shares Expires 2029-12-19 F1 · derivative.exercise_date: Of the Shares subject to the Option, 1/12 shall vest on each of the next twelve (12) monthly anniversaries of the Vesting Commencement Date. In the event of a Change of Control (as such term is defined in the Plan) all Options subject to this grant will immediately vest. Read SEC document |
| June 20, 2019 Filed Jun 21, 2019 16:14 UTC | MOMENTA PHARMACEUTICALS INC MNTA · Entity 146313 | Exercise / conversionRestricted Stock Unit · Derivative | 4,356 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-008019 · edgar.xml · derivative · entry 3 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,356 shares Expires not disclosed 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_price: Restricted Stock Units convert into common stock on a one-for-one basis. F3 · derivative.exercise_date: Subject to certain criteria, 100% of the restricted stock units shall vest on the first anniversary of the grant date. F3 · derivative.expiration_date: Subject to certain criteria, 100% of the restricted stock units shall vest on the first anniversary of the grant date. Read SEC document |
| June 20, 2019 Filed Jun 21, 2019 16:14 UTC | MOMENTA PHARMACEUTICALS INC MNTA · Entity 146313 | Exercise / conversionCommon Stock | 4,356 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-19-008019 · edgar.xml · nonDerivative · entry 1 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,090 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 |
| June 19, 2019 Filed Jun 21, 2019 16:14 UTC | MOMENTA PHARMACEUTICALS INC MNTA · Entity 146313 | GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $12.64 | $0.00 |
DisclosureSEC source: 0001179110-19-008019 · edgar.xml · derivative · entry 2 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2029-06-19 F1 · derivative.exercise_date: Represents an option granted by the Company pursuant to the Company's 2013 Incentive Award Plan. The stock option will vest and become exercisable on the first anniversary of the grant date. Read SEC document |
| May 24, 2019 Filed May 29, 2019 16:12 UTC | MOMENTA PHARMACEUTICALS INC MNTA · Entity 146313 | Exercise / conversionStock Option (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $8.85 | $0.00 |
DisclosureSEC source: 0001179110-19-006769 · edgar.xml · derivative · entry 2 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires 2019-06-11 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 |
| May 24, 2019 Filed May 29, 2019 16:12 UTC | MOMENTA PHARMACEUTICALS INC MNTA · Entity 146313 | Exercise / conversionCommon Stock | 10,000 | $8.85 | $88,500.00 |
DisclosureSEC source: 0001179110-19-006769 · edgar.xml · nonDerivative · entry 1 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,734 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 |
| May 16, 2019 Filed May 20, 2019 07:31 UTC | AMAG PHARMACEUTICALS, INC. AMAG · Entity 145305 | GrantStock Option (Right to Buy) · Derivative | 17,326 | Not disclosed Strike: $10.78 | Not disclosed |
DisclosureSEC source: 0000792977-19-000106 · wf-form4_155835188371234.xml · derivative · entry 2 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,326 Underlying: Common Stock · 17,326 shares Expires 2029-05-16 F2 · price: Not applicable. F3 · derivative.exercise_date: Grant of stock option pursuant to the Plan. This option will vest and become exercisable in twelve equal monthly installments over one year beginning on the first day of the first full month following the Issuer's 2019 annual meeting of stockholders. Read SEC document |
| May 16, 2019 Filed May 20, 2019 07:31 UTC | AMAG PHARMACEUTICALS, INC. AMAG · Entity 145305 | GrantCommon Stock | 8,116 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000792977-19-000106 · wf-form4_155835188371234.xml · nonDerivative · entry 1 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,821 F1 · shares: Each restricted stock unit represents a contingent right to receive one share of Common Stock of AMAG Pharmaceuticals, Inc. (the "Issuer"). These shares of Common Stock are issuable pursuant to a grant of restricted stock units pursuant to the Issuer's 2019 Equity Incentive Plan (the "Plan") that will vest in twelve equal monthly installments over one year beginning on the first day of the first full month following the Issuer's 2019 annual meeting of stockholders; however, delivery of the shares is deferred until the earlier of (a) one year from the date of grant and (b) the date of the director's separation from service to the Issuer. F2 · price: Not applicable. Read SEC document |
| September 06, 2018 Filed Sep 10, 2018 16:48 UTC | MOMENTA PHARMACEUTICALS INC MNTA · Entity 146313 | Exercise / conversionStock Option (Right to Buy) · Derivative | 13,500 | $0.00 Strike: $14.79 | $0.00 |
DisclosureSEC source: 0001179110-18-011251 · edgar.xml · derivative · entry 2 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,500 Underlying: Common Stock · 13,500 shares Expires 2018-09-12 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, 2018 Filed Sep 10, 2018 16:48 UTC | MOMENTA PHARMACEUTICALS INC MNTA · Entity 146313 | Exercise / conversionCommon Stock | 13,500 | $14.79 | $199,665.00 |
DisclosureSEC source: 0001179110-18-011251 · edgar.xml · nonDerivative · entry 1 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,734 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 19, 2018 Filed Jul 20, 2018 12:05 UTC | Arch Therapeutics, Inc. ARTH · Entity 109849 | GrantStock Option (right to buy) · Derivative | 110,000 | $0.00 Strike: $0.43 | $0.00 |
DisclosureSEC source: 0001144204-18-039096 · tv498880_4.xml · derivative · entry 2 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,000 Underlying: Common Stock · 110,000 shares Expires 2028-07-18 F3 · derivative.exercise_date: Of the Shares subject to this Grant, 1/12th shall vest on each of the next twelve (12) monthly anniversaries of the vesting commencement date. Read SEC document |
| July 19, 2018 Filed Jul 20, 2018 12:05 UTC | Arch Therapeutics, Inc. ARTH · Entity 109849 | GrantCommon Stock | 110,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-18-039096 · tv498880_4.xml · nonDerivative · entry 1 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 370,000 F1 · security: Of the Shares subject to this grant, all are issued pursuant to the 2013 Stock Incentive Plan (the "Plan") and 100% shall fully vest on the second anniversary of the date of grant. In addition, in the event of a Change of Control (as such term is defined in the Plan) 100% of grant will immediately vest. F2 · balance_after: Excludes (i) 922,267 shares owned by the Keyes Sulat Revocable Trust; (ii) 41,666 shares owned by the Brenna Keyes Sulat Irrevocable Trust; and (iii) 41,666 shares owned by the Nathaniel Keyes Sulat Irrevocable Trust. Mr. Sulat and his spouse are the co-trustees of each trust, and the members of Mr. Sulat's family are the beneficiaries. Read SEC document |
| July 16, 2018 Filed Jul 18, 2018 14:33 UTC | Arch Therapeutics, Inc. ARTH · Entity 109849 | Exercise / conversionStock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $0.37 | $0.00 |
DisclosureSEC source: 0001144204-18-038834 · tv498784_4.xml · derivative · entry 2 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,000 shares Expires 2023-06-18 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: 33.3% of the shares subject to the option vested on July 1, 2014, and 1/24th of the remaining unvested shares vest monthly thereafter, with all shares underlying the option subject to automatic acceleration of vesting upon a Corporate Transaction or Change in Control (as such terms are defined under the Issuer's 2013 Stock Incentive Plan). To the extent vested, the reporting person must exercise the stock option during the 2018 calendar year, unless the Issuer undergoes a Corporate Transaction or Change in Control which also constitutes a "change in the ownership or effective control, or in the ownership of a substantial portion of the assets" (within the meaning of Code Section 409A) of the Company in a calendar year earlier than 2018, in which case the option must be exercised during such earlier calendar year. Read SEC document |
| July 16, 2018 Filed Jul 18, 2018 14:33 UTC | Arch Therapeutics, Inc. ARTH · Entity 109849 | Exercise / conversionCommon Stock | 30,000 | $0.37 | $11,100.00 |
DisclosureSEC source: 0001144204-18-038834 · tv498784_4.xml · nonDerivative · entry 1 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 260,000 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. F1 · security: Excludes (i) 922,267 shares owned by the Keyes Sulat Revocable Trust; (ii) 41,666 shares owned by the Brenna Keyes Sulat Irrevocable Trust; and (iii) 41,666 shares owned by the Nathaniel Keyes Sulat Irrevocable Trust. Mr. Sulat and his spouse are the co-trustees of each trust, and the members of Mr. Sulat's family are the beneficiaries. F1 · balance_after: Excludes (i) 922,267 shares owned by the Keyes Sulat Revocable Trust; (ii) 41,666 shares owned by the Brenna Keyes Sulat Irrevocable Trust; and (iii) 41,666 shares owned by the Nathaniel Keyes Sulat Irrevocable Trust. Mr. Sulat and his spouse are the co-trustees of each trust, and the members of Mr. Sulat's family are the beneficiaries. Read SEC document |
| June 20, 2018 Filed Jun 22, 2018 17:58 UTC | MOMENTA PHARMACEUTICALS INC MNTA · Entity 146313 | Exercise / conversionRestricted Stock Units · Derivative | 5,734 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-008968 · edgar.xml · derivative · entry 4 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,734 shares Expires not disclosed 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. F4 · derivative.exercise_price: Restricted Stock Units convert into common stock on a one-for-one basis. F5 · derivative.exercise_date: Subject to certain criteria, 100% of the restricted stock units shall vest on the first anniversary of the grant date. F5 · derivative.expiration_date: Subject to certain criteria, 100% of the restricted stock units shall vest on the first anniversary of the grant date. Read SEC document |
| June 20, 2018 Filed Jun 22, 2018 17:58 UTC | MOMENTA PHARMACEUTICALS INC MNTA · Entity 146313 | GrantRestricted Stock Units · Derivative | 4,356 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-008968 · edgar.xml · derivative · entry 3 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,356 Underlying: Common Stock · 4,356 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of MNTA common stock. F3 · derivative.exercise_date: Represents 5,734 restricted stock units, awarded pursuant to the Company's 2013 Incentive Award Plan, 100% of the restricted stock units shall vest on the first anniversary of the grant date, subject to Mr. Sulat's continued service to the Company. F3 · derivative.expiration_date: Represents 5,734 restricted stock units, awarded pursuant to the Company's 2013 Incentive Award Plan, 100% of the restricted stock units shall vest on the first anniversary of the grant date, subject to Mr. Sulat's continued service to the Company. Read SEC document |
| June 20, 2018 Filed Jun 22, 2018 17:58 UTC | MOMENTA PHARMACEUTICALS INC MNTA · Entity 146313 | GrantStock Option (Right to Buy) · Derivative | 8,855 | $0.00 Strike: $22.30 | $0.00 |
DisclosureSEC source: 0001179110-18-008968 · edgar.xml · derivative · entry 2 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,855 Underlying: Common Stock · 8,855 shares Expires 2028-06-20 F1 · derivative.exercise_date: Represents an option granted by the Company pursuant to the Company's 2013 Incentive Award Plan. The stock option will vest and become exercisable on the first anniversary of the grant date, subject to Mr. Sulat's continued service to the Company. Read SEC document |
| June 20, 2018 Filed Jun 22, 2018 17:58 UTC | MOMENTA PHARMACEUTICALS INC MNTA · Entity 146313 | Exercise / conversionCommon Stock | 5,734 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-008968 · edgar.xml · nonDerivative · entry 1 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,234 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 |
| June 07, 2018 Filed Jun 8, 2018 16:10 UTC | AMAG PHARMACEUTICALS, INC. AMAG · Entity 145305 | GrantStock Option (Right to Buy) · Derivative | 7,543 | $0.00 Strike: $24.45 | $0.00 |
DisclosureSEC source: 0000792977-18-000039 · wf-form4_152848859691779.xml · derivative · entry 2 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,543 Underlying: Common Stock · 7,543 shares Expires 2028-06-07 F2 · price: Not applicable. F3 · derivative.exercise_date: Grant of stock option pursuant to the Plan. This option will vest and become exercisable in twelve equal monthly installments over one year beginning on the first day of the first full month following the Issuer's annual meeting of stockholders. Read SEC document |
| June 07, 2018 Filed Jun 8, 2018 16:10 UTC | AMAG PHARMACEUTICALS, INC. AMAG · Entity 145305 | GrantCommon Stock | 3,578 | $0.00 | $0.00 |
DisclosureSEC source: 0000792977-18-000039 · wf-form4_152848859691779.xml · nonDerivative · entry 1 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,705 F1 · shares: Each restricted stock unit represents a contingent right to receive one share of Common Stock of AMAG Pharmaceuticals, Inc. (the "Issuer"). These shares of Common Stock are issuable pursuant to a grant of restricted stock units pursuant to the Issuer's Fourth Amended & Restated 2007 Equity Incentive Plan, as amended (the "Plan") that will vest in twelve equal monthly installments over one year beginning on the first day of the first full month following the Issuer's annual meeting of stockholders, however, delivery of the shares is deferred until the earlier of (a) one year from the date of grant and (b) the date of the director's separation from service to the Issuer. F2 · price: Not applicable. Read SEC document |
| June 20, 2017 Filed Jun 22, 2017 16:18 UTC | MOMENTA PHARMACEUTICALS INC MNTA · Entity 146313 | GrantRestricted Stock Units · Derivative | 5,734 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-009457 · edgar.xml · derivative · entry 2 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,734 Underlying: Common Stock · 5,734 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of MNTA common stock. F3 · derivative.exercise_date: Represents 5,734 restricted stock units, awarded pursuant to the Company's 2013 Incentive Award Plan, 100% of the restricted stock units shall vest on the first anniversary of the grant date, subject to Mr. Sulat's continued service to the Company. F3 · derivative.expiration_date: Represents 5,734 restricted stock units, awarded pursuant to the Company's 2013 Incentive Award Plan, 100% of the restricted stock units shall vest on the first anniversary of the grant date, subject to Mr. Sulat's continued service to the Company. Read SEC document |
| June 20, 2017 Filed Jun 22, 2017 16:18 UTC | MOMENTA PHARMACEUTICALS INC MNTA · Entity 146313 | GrantStock Option (Right to Buy) · Derivative | 11,207 | $0.00 Strike: $17.20 | $0.00 |
DisclosureSEC source: 0001179110-17-009457 · edgar.xml · derivative · entry 1 SULAT JAMES R · CIK 0001229448 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,207 Underlying: Common Stock · 11,207 shares Expires 2027-06-20 F1 · derivative.exercise_date: Represents an option granted by the Company pursuant to the Company's 2013 Incentive Award Plan. The stock option will vest and become exercisable on the first anniversary of the grant date, subject to Mr. Sulat's continued service to the Company. 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.