Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Aurinia Pharmaceuticals Inc.AUPH · Entity 4463 | Director | September 21, 2023 | September 22, 2023 |
| Hepion Pharmaceuticals, Inc.HEPA · Entity 8208 | Director · CEO and Director | September 18, 2023 | September 19, 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.
Aurinia Pharmaceuticals Inc.
Report date September 21, 2023 · Filed September 22, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 20,383 |
Reported balance
After 2023-09-21 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-09-21 · Grant · Acquired 20,383 · Balance 20,383 F1: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. F2: The RSUs will vest one year from date of grant and have no expiration date. Vested shares will be delivered on September 21, 2024 |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.34 · Expires 2033-09-21 | Direct | 32,900 |
Reported balance
After 2023-09-21 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-09-21 · Grant · Acquired 32,900 · Balance 32,900 F3: The option vests in twelve equal monthly installments commencing on October 21, 2023. |
Filing footnotes · ownership attribution and instrument terms
F1: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.
F2: The RSUs will vest one year from date of grant and have no expiration date. Vested shares will be delivered on September 21, 2024
F3: The option vests in twelve equal monthly installments commencing on October 21, 2023.
Hepion Pharmaceuticals, Inc.
Report date September 18, 2023 · Filed September 19, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 50,470 |
Reported balance
After 2023-09-18 transaction · row 1
1 source rowRow 1 · 2023-09-18 · Purchase · Acquired 1,600 · Balance 50,470 |
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 21, 2023 Filed Sep 22, 2023 20:36 UTC | Aurinia Pharmaceuticals Inc. AUPH · Entity 4463 | GrantStock Option (right to buy) · Derivative | 32,900 | $0.00 Strike: $8.34 | $0.00 |
DisclosureSEC source: 0001600620-23-000042 · wk-form4_1695414981.xml · derivative · entry 2 Foster Robert T · CIK 0001677370 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 32,900 Underlying: Common Stock · 32,900 shares Expires 2033-09-21 F3 · derivative.exercise_date: The option vests in twelve equal monthly installments commencing on October 21, 2023. Read SEC document |
| September 21, 2023 Filed Sep 22, 2023 20:36 UTC | Aurinia Pharmaceuticals Inc. AUPH · Entity 4463 | GrantRestricted Stock Units · Derivative | 20,383 | $0.00 | $0.00 |
DisclosureSEC source: 0001600620-23-000042 · wk-form4_1695414981.xml · derivative · entry 1 Foster Robert T · CIK 0001677370 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,383 Underlying: Common Stock · 20,383 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: The RSUs will vest one year from date of grant and have no expiration date. Vested shares will be delivered on September 21, 2024 F2 · derivative.expiration_date: The RSUs will vest one year from date of grant and have no expiration date. Vested shares will be delivered on September 21, 2024 Read SEC document |
| September 18, 2023 Filed Sep 19, 2023 13:01 UTC | Hepion Pharmaceuticals, Inc. HEPA · Entity 8208 | PurchaseCommon Stock | 1,600 | $5.60 | $8,960.00 |
DisclosureSEC source: 0001104659-23-101784 · tm2326377-1_4seq1.xml · nonDerivative · entry 1 Foster Robert T · CIK 0001677370 · Director · CEO and Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,470 Read SEC document |
| September 15, 2023 Filed Sep 18, 2023 12:00 UTC | Hepion Pharmaceuticals, Inc. HEPA · Entity 8208 | PurchaseCommon Stock | 1,600 | $5.40 | $8,640.00 |
DisclosureSEC source: 0001104659-23-101391 · tm2326273-1_4seq1.xml · nonDerivative · entry 1 Foster Robert T · CIK 0001677370 · Director · CEO,CSO and Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 48,870 Read SEC document |
| May 18, 2021 Filed May 20, 2021 20:36 UTC | Hepion Pharmaceuticals, Inc. HEPA · Entity 8208 | GrantStock Options · Derivative | 1,900,000 | $0.00 Strike: $1.70 | $0.00 |
DisclosureSEC source: 0001104659-21-069939 · tm2117144-5_4seq1.xml · derivative · entry 1 Foster Robert T · CIK 0001677370 · Director · CEO, CSO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,501,879 Underlying: Common Stock · 1,900,000 shares Expires 2031-05-18 F1 · security: Stock Options have been granted subject to stockholder approval of an increase in the shares of common stock issuable pursuant to the 2013 Equity Incentive Plan. F2 · derivative.exercise_date: 633,333 of the stock options vest on 5/18/2022 and the remainder vests monthly in equal amounts over 24 months. Read SEC document |
| February 18, 2021 Filed Feb 18, 2021 21:05 UTC | Hepion Pharmaceuticals, Inc. HEPA · Entity 8208 | PurchaseCommon Stock | 20,000 | $2.00 | $40,000.00 |
DisclosureSEC source: 0001104659-21-025199 · tm217063-2_4seq1.xml · nonDerivative · entry 1 Foster Robert T · CIK 0001677370 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,259 Read SEC document |
| December 08, 2020 Filed Dec 8, 2020 18:56 UTC | Hepion Pharmaceuticals, Inc. HEPA · Entity 8208 | PurchaseCommon Stock | 25,000 | $1.58 | $39,417.50 |
DisclosureSEC source: 0001104659-20-133141 · tm2037967-1_4seq1.xml · nonDerivative · entry 1 Foster Robert T · CIK 0001677370 · Director · CEO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,259 Read SEC document |
| August 19, 2020 Filed Aug 21, 2020 20:17 UTC | Hepion Pharmaceuticals, Inc. HEPA · Entity 8208 | GrantStock Options · Derivative | 212,000 | $0.00 Strike: $3.72 | $0.00 |
DisclosureSEC source: 0001104659-20-097602 · a4.xml · derivative · entry 1 Foster Robert T · CIK 0001677370 · Director · CEO,CSO and Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 601,879 Underlying: Common Stock · 212,000 shares Expires 2030-08-19 F1 · derivative.exercise_date: 70,667 of the stock options vest on 8/19/2021 and the remainder vests monthly in equal amounts over 24 months. Read SEC document |
| April 03, 2020 Filed Apr 7, 2020 20:13 UTC | Hepion Pharmaceuticals, Inc. HEPA · Entity 8208 | GrantStock Options · Derivative | 380,000 | $0.00 Strike: $1.63 | $0.00 |
DisclosureSEC source: 0001104659-20-044170 · a4.xml · derivative · entry 1 Foster Robert T · CIK 0001677370 · Director · CEO and CSO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 389,879 Underlying: Common Stock · 380,000 shares Expires 2030-04-03 F1 · derivative.exercise_date: 126,667 of the stock options vest on 4/3/2021 and the remainder vests monthly in equal amounts over 24 months. Read SEC document |
| July 24, 2019 Filed Jul 25, 2019 20:15 UTC | Hepion Pharmaceuticals, Inc. HEPA · Entity 8208 | GrantStock Options · Derivative | 9,700 | $0.00 Strike: $3.24 | $0.00 |
DisclosureSEC source: 0001104659-19-041844 · a4.xml · derivative · entry 1 Foster Robert T · CIK 0001677370 · Director · CEO and CSO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,879 Underlying: Common Stock · 9,700 shares Expires 2029-07-24 F1 · derivative.exercise_date: Options vest in three installments as follows: 3,233 vest on each of July 24, 2020 and 2021 and 3,234 vest on July 24, 2022. Read SEC document |
| January 03, 2018 Filed Jan 5, 2018 18:08 UTC | Hepion Pharmaceuticals, Inc. CTRV · Entity 8208 | GrantCommon Stock | 100,654 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-18-000922 · a4.xml · nonDerivative · entry 1 Foster Robert T · CIK 0001677370 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 144,736 F1 · price: The reported item represents an award of restricted stock pursuant to the Company's 2013 Equity Incentive Plan. All of the shares vested upon grant. Such shares were issued in lieu of a cash bonus to the reporting person. Read SEC document |
| July 06, 2017 Filed Jul 7, 2017 21:00 UTC | Hepion Pharmaceuticals, Inc. CTRV · Entity 8208 | GrantCommon Stock | 44,082 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-044097 · a4.xml · nonDerivative · entry 1 Foster Robert T · CIK 0001677370 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,082 F1 · price: The reported item represents an award of restricted stock pursuant to the Company's 2013 Equity Incentive Plan. All of the shares vested upon grant. Such shares were issued in lieu of a cash bonus to the reporting person. 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.