Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ALPINE IMMUNE SCIENCES, INC.ALPN · Entity 90802 | Chief Medical Officer | October 02, 2023 | October 04, 2023 |
| Aridis Pharmaceuticals, Inc.ARDS · Entity 89417 | Chief Medical Officer | December 05, 2018 | August 29, 2019 |
| RIGEL PHARMACEUTICALS INCRIGL · Entity 2423 | EVP & CMO | February 02, 2023 | February 06, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ALPINE IMMUNE SCIENCES, INC.
Report date October 02, 2023 · Filed October 04, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.37 · Expires 2033-10-01 | Direct | 200,000 |
Reported balance
After 2023-10-02 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-10-02 · Grant · Acquired 200,000 · Balance 200,000 F1: One-fourth (1/4) of the shares subject to the option will vest on October 2, 2024, and one thirty-sixth (1/36th) of the remaining shares subject to the option shall vest each month thereafter, subject to Reporting Person continuing to be a service provider through each such date. |
Filing footnotes · ownership attribution and instrument terms
F1: One-fourth (1/4) of the shares subject to the option will vest on October 2, 2024, and one thirty-sixth (1/36th) of the remaining shares subject to the option shall vest each month thereafter, subject to Reporting Person continuing to be a service provider through each such date.
Aridis Pharmaceuticals, Inc.
Report date December 05, 2018 · Filed August 29, 2019 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $8.50 · Expires 2028-12-05 | Direct | 81,094 |
Reported balance
After 2018-12-05 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2018-12-05 · Grant · Acquired 25,000 · Balance 81,094 F1: The shares underlying this stock option vest in equal installments over the 48 months following the date of grant. The original Form 4 stated that vesting occurred in equal annual installments over the same period. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares underlying this stock option vest in equal installments over the 48 months following the date of grant. The original Form 4 stated that vesting occurred in equal annual installments over the same period.
RIGEL PHARMACEUTICALS INC
Report date February 02, 2023 · Filed February 06, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 72,459 |
Reported balance
After 2023-02-02 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2023-02-02 · Sale · Disposed 5,389 · Balance 72,459 F1: These shares were sold to cover tax withholding due upon vesting of Restricted Stock Units. Such "sales to cover" were automatically effected to satisfy tax withholding obligations and do not represent a discretionary trade by the Reporting Person. F2: Includes 10,000 shares acquired under the Issuer's stock purchase plan. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were sold to cover tax withholding due upon vesting of Restricted Stock Units. Such "sales to cover" were automatically effected to satisfy tax withholding obligations and do not represent a discretionary trade by the Reporting Person.
F2: Includes 10,000 shares acquired under the Issuer's stock purchase plan.
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 |
|---|---|---|---|---|---|---|
| October 02, 2023 Filed Oct 4, 2023 17:14 UTC | ALPINE IMMUNE SCIENCES, INC. ALPN · Entity 90802 | GrantStock Option (Right to buy) · Derivative | 200,000 | $0.00 Strike: $11.37 | $0.00 |
DisclosureSEC source: 0001626199-23-000099 · wk-form4_1696454044.xml · derivative · entry 1 Dummer Wolfgang · CIK 0001749991 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2033-10-01 F1 · derivative.exercise_date: One-fourth (1/4) of the shares subject to the option will vest on October 2, 2024, and one thirty-sixth (1/36th) of the remaining shares subject to the option shall vest each month thereafter, subject to Reporting Person continuing to be a service provider through each such date. Read SEC document |
| February 02, 2023 Filed Feb 6, 2023 22:40 UTC | RIGEL PHARMACEUTICALS INC RIGL · Entity 2423 | SaleCommon Stock | 5,389 | $1.66 | $8,946.28 |
DisclosureSEC source: 0001140361-23-004731 · form4.xml · nonDerivative · entry 1 Dummer Wolfgang · CIK 0001749991 · EVP & CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,459 F1 · kind: These shares were sold to cover tax withholding due upon vesting of Restricted Stock Units. Such "sales to cover" were automatically effected to satisfy tax withholding obligations and do not represent a discretionary trade by the Reporting Person. F2 · balance_after: Includes 10,000 shares acquired under the Issuer's stock purchase plan. Read SEC document |
| January 26, 2023 Filed Jan 31, 2023 02:45 UTC | RIGEL PHARMACEUTICALS INC RIGL · Entity 2423 | GrantEmployee Stock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $2.42 | $0.00 |
DisclosureSEC source: 0001140361-23-003443 · form4.xml · derivative · entry 1 Dummer Wolfgang · CIK 0001749991 · EVP & CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 50,000 shares Expires 2032-01-24 F1 · shares: The Reporting Person was granted an option with a performance-based condition with respect to 50,000 shares of common stock on January 24, 2022. Thus, the exercise price of this option is $2.42 (the closing price of the issuer's common stock on Nasdaq the date of grant). In light of the performance-based vesting condition of this grant, the grant was not reportable under Section 16 until the performance metric was satisfied. On January 26, 2023, it was determined that the performance metric had been met. F2 · derivative.exercise_date: The option was fully vested on January 26, 2023, the date the determination was made that the performance metric had been met. Read SEC document |
| December 28, 2022 Filed Dec 30, 2022 21:30 UTC | RIGEL PHARMACEUTICALS INC RIGL · Entity 2423 | GrantEmployee Stock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $2.42 | $0.00 |
DisclosureSEC source: 0001140361-22-047669 · form4.xml · derivative · entry 1 Dummer Wolfgang · CIK 0001749991 · EVP & CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2032-01-24 F1 · shares: The Reporting Person was granted an option with a performance-based condition with respect to 50,000 shares of common stock on January 24, 2022. Thus, the exercise price of this option is $2.42 (the closing price of the issuer's common stock on Nasdaq the date of grant). In light of the performance-based vesting condition of this grant, the grant was not reportable under Section 16 until the performance metric was satisfied. On December 28, 2022, it was determined that the performance metric had been met. F2 · derivative.exercise_date: The option was fully vested on December 28, 2022, the date the determination was made that the performance metric had been met. Read SEC document |
| January 24, 2022 Filed Jan 27, 2022 01:46 UTC | RIGEL PHARMACEUTICALS INC RIGL · Entity 2423 | GrantStock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $2.42 | $0.00 |
DisclosureSEC source: 0001567619-22-001781 · doc1.xml · derivative · entry 2 Dummer Wolfgang · CIK 0001749991 · EVP & CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2032-01-24 F3 · derivative.exercise_date: The shares of common stock subject to the option vest monthly over four (4) years from the vesting commencement date of January 1, 2022, subject to the reporting person's continuous service to the issuer through each such period Read SEC document |
| January 24, 2022 Filed Jan 27, 2022 01:46 UTC | RIGEL PHARMACEUTICALS INC RIGL · Entity 2423 | GrantCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-22-001781 · doc1.xml · nonDerivative · entry 1 Dummer Wolfgang · CIK 0001749991 · EVP & CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,848 F1 · shares: The shares of Common Stock are to be acquired upon the vesting of a Restricted Stock Unit award granted to the Reporting Person. The Restricted Stock Units shall vest annually over four (4) years from February 1, 2022, with the first annual vest occurring on February 1, 2023. F2 · balance_after: Includes 17,848 shares acquired under the Issuer's stock purchase plan. Read SEC document |
| November 04, 2021 Filed Nov 5, 2021 22:59 UTC | RIGEL PHARMACEUTICALS INC RIGL · Entity 2423 | GrantStock Option (Right to Buy) · Derivative | 37,500 | $0.00 Strike: $2.38 | $0.00 |
DisclosureSEC source: 0001567619-21-019427 · doc1.xml · derivative · entry 1 Dummer Wolfgang · CIK 0001749991 · EVP & CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,500 Underlying: Common Stock · 37,500 shares Expires 2030-08-25 F1 · shares: The reporting person was granted a performance-based option to purchase 37,500 shares of common stock on August 25, 2020. Thus, the exercise price of this option is $2.38 (the closing price of the issuer's common stock on Nasdaq the date of grant). In light of the performance-based vesting condition of this grant, the grant was not reportable under Section 16 until the performance metric was satisfied. On November 4, 2021, it was determined that the performance metric had been met. F2 · derivative.exercise_date: The shares of common stock subject to the option vest in equal monthly installments over twenty-four (24) months from the vesting commencement date of October 25, 2021, subject to the reporting person's continuous service to the issuer through each such period. Read SEC document |
| January 27, 2021 Filed Jan 30, 2021 00:10 UTC | RIGEL PHARMACEUTICALS INC RIGL · Entity 2423 | GrantStock Option (right to buy) · Derivative | 37,500 | $0.00 Strike: $2.38 | $0.00 |
DisclosureSEC source: 0001179110-21-000986 · edgar.xml · derivative · entry 2 Dummer Wolfgang · CIK 0001749991 · EVP & CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,500 Underlying: Common Stock · 37,500 shares Expires 2030-08-25 F2 · shares: The reporting person was granted a performance-based option to purchase 37,500 shares of common stock on August 25, 2020. Thus, the exercise price of this option is $2.38 (the closing price of the issuer's common stock on Nasdaq the date of grant). In light of the performance-based vesting condition of this grant, the grant was not reportable under Section 16 until the performance metric was satisfied. On January 27, 2021, it was determined that the performance metric had been met. F3 · derivative.exercise_date: The shares of common stock subject to the option vest in equal monthly installments over twenty-four (24) months from the vesting commencement date of December 18, 2020, subject to the reporting person's continuous service to the issuer through each such period. Read SEC document |
| January 27, 2021 Filed Jan 30, 2021 00:10 UTC | RIGEL PHARMACEUTICALS INC RIGL · Entity 2423 | GrantStock Option(right to buy) · Derivative | 125,000 | $0.00 Strike: $3.54 | $0.00 |
DisclosureSEC source: 0001179110-21-000986 · edgar.xml · derivative · entry 1 Dummer Wolfgang · CIK 0001749991 · EVP & CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 Underlying: Common Stock · 125,000 shares Expires 2031-01-27 F1 · derivative.exercise_date: The shares of common stock subject to the option vest in equal monthly installments over four (4) years from the vesting commencement date of January 1, 2021, subject to the reporting person's continuous service to the issuer through each such period. Read SEC document |
| November 18, 2019 Filed Nov 21, 2019 01:05 UTC | RIGEL PHARMACEUTICALS INC RIGL · Entity 2423 | GrantEmployee Stock Option (right to buy) · Derivative | 220,000 | $0.00 Strike: $2.25 | $0.00 |
DisclosureSEC source: 0001179110-19-011937 · edgar.xml · derivative · entry 1 Dummer Wolfgang · CIK 0001749991 · EVP & CMO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,000 Underlying: Common Stock · 220,000 shares Expires 2029-11-18 F1 · derivative.exercise_date: Common Stock subject to the Option shall vest over a four-year term, with one-fourth of the shares subject to the Option vesting on November 18, 2020, and 1/48th of the shares subject to the Option vesting monthly thereafter, subject to the Continuous Service (as defined in the Plan) to the Company through each vesting date. Read SEC document |
| December 05, 2018 Filed Dec 11, 2018 17:12 UTC | Aridis Pharmaceuticals, Inc. ARDS · Entity 89417 | GrantStock Options · Derivative | 25,000 | $0.00 Strike: $8.50 | $0.00 |
DisclosureSEC source: 0001104659-18-072393 · a4.xml · derivative · entry 1 Dummer Wolfgang · CIK 0001749991 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,094 Underlying: Common Stock · 25,000 shares Expires 2028-12-05 F1 · derivative.exercise_date: The shares underlying this stock option vest as follows: in equal annual installments over the 48 months following the date of grant. Read SEC document |
| December 05, 2018 Filed Aug 29, 2019 11:38 UTC Amendment | Aridis Pharmaceuticals, Inc. ARDS · Entity 89417 | GrantStock Options · Derivative | 25,000 | $0.00 Strike: $8.50 | $0.00 |
DisclosureSEC source: 0001104659-19-047879 · a4a.xml · derivative · entry 1 Dummer Wolfgang · CIK 0001749991 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,094 Underlying: Common Stock · 25,000 shares Expires 2028-12-05 F1 · derivative.exercise_date: The shares underlying this stock option vest in equal installments over the 48 months following the date of grant. The original Form 4 stated that vesting occurred in equal annual installments over the same period. 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.