Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Arq, Inc.ADES · Entity 2240 | Chief Accounting Officer | August 17, 2023 | August 21, 2023 |
| Rezolute, Inc.ANTB · Entity 1990 | Chief Accounting Officer | October 31, 2016 | January 14, 2017 |
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.
Arq, Inc.
Report date August 17, 2023 · Filed August 21, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 64,599 |
Reported balance
After 2023-08-17 transaction · row 1
1 source rowRow 1 · 2023-08-17 · Tax withholding · Disposed 1,321 · Balance 64,599 |
Rezolute, Inc.
Report date October 31, 2016 · Filed January 14, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.20 · Expires 2026-10-31 | Direct | 600,000 |
Reported balance
After 2016-10-31 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2016-10-31 · Grant · Acquired 600,000 · Balance 600,000 F1: On October 31, 2016, the Reporting Person was granted 1,000,000 shares of common stock. Pursuant to Board approval and a Refresh Option Agreement, the number of shares was reduced for no consideration on December 27, 2016. An additional 240,000 shares may be issued upon certain performance only criteria. F2: The option vests in forty-eight equal installments beginning on the date so indicated and every month thereafter, such grant vested in full at 4 years. |
Filing footnotes · ownership attribution and instrument terms
F1: On October 31, 2016, the Reporting Person was granted 1,000,000 shares of common stock. Pursuant to Board approval and a Refresh Option Agreement, the number of shares was reduced for no consideration on December 27, 2016. An additional 240,000 shares may be issued upon certain performance only criteria.
F2: The option vests in forty-eight equal installments beginning on the date so indicated and every month thereafter, such grant vested in full at 4 years.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 17, 2023 Filed Aug 21, 2023 22:48 UTC | Arq, Inc. ADES · Entity 2240 | Tax withholdingCommon Stock | 1,321 | $1.92 | $2,536.32 |
DisclosureSEC source: 0001515156-23-000119 · wk-form4_1692658085.xml · nonDerivative · entry 1 Fields Morgan · CIK 0001614600 · Chief Accounting Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 64,599 Read SEC document |
| March 23, 2023 Filed Mar 27, 2023 23:01 UTC | Arq, Inc. ADES · Entity 2240 | GrantPerformance Share Units · Derivative | 26,899 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-23-000037 · wf-form4_167995809788193.xml · derivative · entry 3 Fields Morgan · CIK 0001614600 · Chief Accounting Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 26,899 Underlying: Common Stock · 53,798 shares Expires 2026-03-10 F1 · derivative.exercise_price: Each Performance Share Unit ("PSU") represents a contingent right to receive one share of the Company's common stock upon vesting of the PSU, which will occur, if at all, no later than March 10, 2026 subject to the reporting person's continuous service with the Company or its related entities and the achievement of certain pre-established goals to be measured as of December 31, 2025. F1 · derivative.exercise_date: Each Performance Share Unit ("PSU") represents a contingent right to receive one share of the Company's common stock upon vesting of the PSU, which will occur, if at all, no later than March 10, 2026 subject to the reporting person's continuous service with the Company or its related entities and the achievement of certain pre-established goals to be measured as of December 31, 2025. F1 · derivative.expiration_date: Each Performance Share Unit ("PSU") represents a contingent right to receive one share of the Company's common stock upon vesting of the PSU, which will occur, if at all, no later than March 10, 2026 subject to the reporting person's continuous service with the Company or its related entities and the achievement of certain pre-established goals to be measured as of December 31, 2025. F2 · derivative.underlying_shares: Represents the maximum number of PSUs that will vest, if at all, which is 200% of the target award. Read SEC document |
| March 23, 2023 Filed Mar 27, 2023 23:01 UTC | Arq, Inc. ADES · Entity 2240 | Tax withholdingCommon Stock | 2,823 | $1.97 | $5,561.31 |
DisclosureSEC source: 0001515156-23-000037 · wf-form4_167995809788193.xml · nonDerivative · entry 2 Fields Morgan · CIK 0001614600 · Chief Accounting Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 65,920 Read SEC document |
| March 23, 2023 Filed Mar 27, 2023 23:01 UTC | Arq, Inc. ADES · Entity 2240 | GrantCommon Stock | 26,899 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-23-000037 · wf-form4_167995809788193.xml · nonDerivative · entry 1 Fields Morgan · CIK 0001614600 · Chief Accounting Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 68,743 Read SEC document |
| March 23, 2022 Filed Mar 25, 2022 22:29 UTC | Arq, Inc. ADES · Entity 2240 | GrantPerformance Share Units · Derivative | 29,742 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-22-000022 · wf-form4_164824737149309.xml · derivative · entry 3 Fields Morgan · CIK 0001614600 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,742 Underlying: Common Stock · 29,742 shares Expires 2025-03-10 F1 · derivative.exercise_price: Each Performance Share Unit ("PSU") represents a contingent right to receive one share of the Company's common stock upon vesting of the PSU, which will occur, if at all, no later than March 10, 2025 subject to the reporting person's continuous service with the Company or its related entities and the achievement of certain pre-established goals to be measured as of December 31, 2024. F2 · shares: Represents the maximum number of PSUs that will vest, if at all, which is 200% of the target award. F1 · derivative.exercise_date: Each Performance Share Unit ("PSU") represents a contingent right to receive one share of the Company's common stock upon vesting of the PSU, which will occur, if at all, no later than March 10, 2025 subject to the reporting person's continuous service with the Company or its related entities and the achievement of certain pre-established goals to be measured as of December 31, 2024. F1 · derivative.expiration_date: Each Performance Share Unit ("PSU") represents a contingent right to receive one share of the Company's common stock upon vesting of the PSU, which will occur, if at all, no later than March 10, 2025 subject to the reporting person's continuous service with the Company or its related entities and the achievement of certain pre-established goals to be measured as of December 31, 2024. F2 · derivative.underlying_shares: Represents the maximum number of PSUs that will vest, if at all, which is 200% of the target award. F2 · balance_after: Represents the maximum number of PSUs that will vest, if at all, which is 200% of the target award. Read SEC document |
| March 23, 2022 Filed Mar 25, 2022 22:29 UTC | Arq, Inc. ADES · Entity 2240 | Tax withholdingCommon Stock | 1,410 | $6.40 | $9,024.00 |
DisclosureSEC source: 0001515156-22-000022 · wf-form4_164824737149309.xml · nonDerivative · entry 2 Fields Morgan · CIK 0001614600 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,844 Read SEC document |
| March 23, 2022 Filed Mar 25, 2022 22:29 UTC | Arq, Inc. ADES · Entity 2240 | GrantCommon Stock | 14,872 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-22-000022 · wf-form4_164824737149309.xml · nonDerivative · entry 1 Fields Morgan · CIK 0001614600 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,254 Read SEC document |
| August 17, 2021 Filed Aug 19, 2021 20:53 UTC | Arq, Inc. ADES · Entity 2240 | GrantCommon Stock | 13,781 | $0.00 | $0.00 |
DisclosureSEC source: 0001515156-21-000077 · wf-form4_162940640723058.xml · nonDerivative · entry 1 Fields Morgan · CIK 0001614600 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,382 Read SEC document |
| October 31, 2016 Filed Jan 14, 2017 00:31 UTC | Rezolute, Inc. ANTB · Entity 1990 | GrantStock Option (right to buy) · Derivative | 600,000 | $0.00 Strike: $1.20 | $0.00 |
DisclosureSEC source: 0001140361-17-001946 · doc1.xml · derivative · entry 1 Fields Morgan · CIK 0001614600 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 600,000 Underlying: Common Stock · 600,000 shares Expires 2026-10-31 F1 · shares: On October 31, 2016, the Reporting Person was granted 1,000,000 shares of common stock. Pursuant to Board approval and a Refresh Option Agreement, the number of shares was reduced for no consideration on December 27, 2016. An additional 240,000 shares may be issued upon certain performance only criteria. F2 · derivative.exercise_date: The option vests in forty-eight equal installments beginning on the date so indicated and every month thereafter, such grant vested in full at 4 years. F1 · derivative.underlying_shares: On October 31, 2016, the Reporting Person was granted 1,000,000 shares of common stock. Pursuant to Board approval and a Refresh Option Agreement, the number of shares was reduced for no consideration on December 27, 2016. An additional 240,000 shares may be issued upon certain performance only criteria. F1 · balance_after: On October 31, 2016, the Reporting Person was granted 1,000,000 shares of common stock. Pursuant to Board approval and a Refresh Option Agreement, the number of shares was reduced for no consideration on December 27, 2016. An additional 240,000 shares may be issued upon certain performance only criteria. 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.