Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Neurogene Inc.NLTX · Entity 5160 | Interim CFO, Prin Acct Off | August 10, 2023 | August 14, 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.
Neurogene Inc.
Report date August 10, 2023 · Filed August 14, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 21,637 |
Last balance in matching sequence
After 2023-08-11 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2023-08-10 · Exercise / conversion · Acquired 5,000 · Balance 22,960 F1: Includes 2,000 shares of common stock acquired by the Reporting Person on May 15, 2023 pursuant to the Issuer's employee stock purchase plan. Row 2 · 2023-08-11 · Sale · Disposed 1,323 · Balance 21,637 F2: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs"). These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person. F3: Represents the weighted average sale price. The lowest price at which shares were sold was $.6146 and the highest price at which shares were sold was $0.6399. The Reporting Person undertakes to provide upon request to the staff of the Securities and Exchange Commission, the Issuer or its stockholders, full information regarding the total number of shares sold at each separate price within the range set forth herein. F1: Includes 2,000 shares of common stock acquired by the Reporting Person on May 15, 2023 pursuant to the Issuer's employee stock purchase plan. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2023-08-10 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-08-10 · Exercise / conversion · Disposed 5,000 · Balance 0 F4: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration. F5: The RSUs will vest as to 1/2 of the total number of shares underlying the award on each of August 10, 2022 and August 10, 2023, subject to the Reporting Person's provision of service to the Issuer on each vesting date. F6: The RSUs do not expire; these securities either vest and settle or are canceled prior to the vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 2,000 shares of common stock acquired by the Reporting Person on May 15, 2023 pursuant to the Issuer's employee stock purchase plan.
F2: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs"). These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.
F3: Represents the weighted average sale price. The lowest price at which shares were sold was $.6146 and the highest price at which shares were sold was $0.6399. The Reporting Person undertakes to provide upon request to the staff of the Securities and Exchange Commission, the Issuer or its stockholders, full information regarding the total number of shares sold at each separate price within the range set forth herein.
F4: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration.
F5: The RSUs will vest as to 1/2 of the total number of shares underlying the award on each of August 10, 2022 and August 10, 2023, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
F6: The RSUs do not expire; these securities either vest and settle or are canceled prior to the vesting date.
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 11, 2023 Filed Aug 14, 2023 16:06 UTC | Neurogene Inc. NLTX · Entity 5160 | SaleCommon Stock | 1,323 | $0.62 | $818.14 |
DisclosureSEC source: 0001209191-23-045611 · doc4.xml · nonDerivative · entry 2 Smith Sean Michael · CIK 0001914769 · Interim CFO, Prin Acct Off 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,637 F2 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs"). These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person. F3 · price: Represents the weighted average sale price. The lowest price at which shares were sold was $.6146 and the highest price at which shares were sold was $0.6399. The Reporting Person undertakes to provide upon request to the staff of the Securities and Exchange Commission, the Issuer or its stockholders, full information regarding the total number of shares sold at each separate price within the range set forth herein. F1 · balance_after: Includes 2,000 shares of common stock acquired by the Reporting Person on May 15, 2023 pursuant to the Issuer's employee stock purchase plan. Read SEC document |
| August 10, 2023 Filed Aug 14, 2023 16:06 UTC | Neurogene Inc. NLTX · Entity 5160 | Exercise / conversionRestricted Stock Units · Derivative | 5,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-045611 · doc4.xml · derivative · entry 3 Smith Sean Michael · CIK 0001914769 · Interim CFO, Prin Acct Off 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,000 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: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration. F5 · derivative.exercise_date: The RSUs will vest as to 1/2 of the total number of shares underlying the award on each of August 10, 2022 and August 10, 2023, subject to the Reporting Person's provision of service to the Issuer on each vesting date. F6 · derivative.expiration_date: The RSUs do not expire; these securities either vest and settle or are canceled prior to the vesting date. Read SEC document |
| August 10, 2023 Filed Aug 14, 2023 16:06 UTC | Neurogene Inc. NLTX · Entity 5160 | Exercise / conversionCommon Stock | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-045611 · doc4.xml · nonDerivative · entry 1 Smith Sean Michael · CIK 0001914769 · Interim CFO, Prin Acct Off 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 22,960 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 · balance_after: Includes 2,000 shares of common stock acquired by the Reporting Person on May 15, 2023 pursuant to the Issuer's employee stock purchase plan. Read SEC document |
| February 02, 2023 Filed Feb 3, 2023 16:33 UTC | Neurogene Inc. NLTX · Entity 5160 | SaleCommon Stock | 3,316 | $0.60 | $1,980.32 |
DisclosureSEC source: 0001209191-23-006886 · doc4.xml · nonDerivative · entry 2 Smith Sean Michael · CIK 0001914769 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,960 F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs"). These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person. F2 · price: Represents the weighted average sale price. The lowest price at which shares were sold was $0.576 and the highest price at which shares were sold was $0.635. The Reporting Person undertakes to provide upon request to the staff of the Securities and Exchange Commission, the Issuer or its stockholders, full information regarding the total number of shares sold at each separate price within the ranges set forth herein. Read SEC document |
| February 01, 2023 Filed Feb 3, 2023 16:33 UTC | Neurogene Inc. NLTX · Entity 5160 | Exercise / conversionRestricted Stock Units · Derivative | 12,500 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-006886 · doc4.xml · derivative · entry 3 Smith Sean Michael · CIK 0001914769 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 12,500 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. F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration. F4 · derivative.exercise_date: The RSUs will vest as to 1/2 of the total number of shares underlying the award on each of February 1, 2023 and February 1, 2024, subject to the Reporting Person's provision of service to the Issuer on each vesting date. F5 · derivative.expiration_date: The RSUs do not expire; these securities either vest and settle or are canceled prior to the vesting date. Read SEC document |
| February 01, 2023 Filed Feb 3, 2023 16:33 UTC | Neurogene Inc. NLTX · Entity 5160 | Exercise / conversionCommon Stock | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-006886 · doc4.xml · nonDerivative · entry 1 Smith Sean Michael · CIK 0001914769 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,276 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 |
| August 10, 2022 Filed Aug 12, 2022 17:24 UTC | Neurogene Inc. NLTX · Entity 5160 | Exercise / conversionRestricted Stock Units · Derivative | 5,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-045667 · doc4.xml · derivative · entry 3 Smith Sean Michael · CIK 0001914769 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 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. F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration. F4 · derivative.exercise_date: The RSUs will vest as to 1/2 of the total number of shares underlying the award on each of August 10, 2022 and August 10, 2023, subject to the Reporting Person's provision of service to the Issuer on each vesting date. F5 · derivative.expiration_date: The RSUs do not expire; these securities either vest and settle or are canceled prior to the vesting date. Read SEC document |
| August 10, 2022 Filed Aug 12, 2022 17:24 UTC | Neurogene Inc. NLTX · Entity 5160 | SaleCommon Stock | 1,655 | $0.99 | $1,640.77 |
DisclosureSEC source: 0001209191-22-045667 · doc4.xml · nonDerivative · entry 2 Smith Sean Michael · CIK 0001914769 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,776 F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs"). These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person. F2 · price: Represents the weighted average sale price. The lowest price at which shares were sold was $.9801 and the highest price at which shares were sold was $1.01. The Reporting Person undertakes to provide upon request to the staff of the Securities and Exchange Commission, the Issuer or its stockholders, full information regarding the total number of shares sold at each separate price within the range set forth herein. Read SEC document |
| August 10, 2022 Filed Aug 12, 2022 17:24 UTC | Neurogene Inc. NLTX · Entity 5160 | Exercise / conversionCommon Stock | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-045667 · doc4.xml · nonDerivative · entry 1 Smith Sean Michael · CIK 0001914769 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,431 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 |
| August 02, 2022 Filed Aug 4, 2022 16:41 UTC | Neurogene Inc. NLTX · Entity 5160 | GrantStock Option (Right to Buy) · Derivative | 150,000 | $0.00 Strike: $0.99 | $0.00 |
DisclosureSEC source: 0001209191-22-044434 · doc4.xml · derivative · entry 1 Smith Sean Michael · CIK 0001914769 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2032-08-01 F1 · derivative.exercise_date: The option vests as to 1/4 of the total shares on August 2, 2023, and then 1/48 of the total shares will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Read SEC document |
| March 02, 2022 Filed Mar 3, 2022 16:39 UTC | Neurogene Inc. NLTX · Entity 5160 | GrantStock Option (Right to Buy) · Derivative | 80,000 | $0.00 Strike: $2.72 | $0.00 |
DisclosureSEC source: 0001209191-22-015479 · doc4.xml · derivative · entry 1 Smith Sean Michael · CIK 0001914769 · Principal Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 Underlying: Common Stock · 80,000 shares Expires 2032-03-01 F1 · derivative.exercise_date: 1/4 of the shares subject to the option will vest on March 2, 2023, and 1/48 of the shares subject to the option will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date. 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.