Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| EXICURE, INC.XCUR · Entity 8068 | 10% owner | June 23, 2023 | June 27, 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.
EXICURE, INC.
Report date June 23, 2023 · Filed June 27, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 818,299 |
Reported balance
After 2023-06-23 transaction · row 1
1 source rowRow 1 · 2023-06-23 · Conversion · Disposed 3,400,000 · Balance 818,299 F1: On February 22, 2023, Reporting Person obtained loan from an affiliate ("Lender") in the form of an exchangeable bond in the principal amount of $5,440,000, which represented an obligation to sell. On June 23, 2023, Lender exercised the option to exchange the bond for 3,400,000 shares of Common Stock (at fixed conversion price of $1.60 per share). |
| CBI USA, Inc. 1st Bearer-type Interest Unsecured PrivateSEC Table II · derivative / convertible security · Conversion / exercise price $1.60 · Expires 2025-02-22 | Direct | 0 |
Reported balance
After 2023-06-23 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-06-23 · Conversion · Disposed Not disclosed · Balance 0 F1: On February 22, 2023, Reporting Person obtained loan from an affiliate ("Lender") in the form of an exchangeable bond in the principal amount of $5,440,000, which represented an obligation to sell. On June 23, 2023, Lender exercised the option to exchange the bond for 3,400,000 shares of Common Stock (at fixed conversion price of $1.60 per share). |
Filing footnotes · ownership attribution and instrument terms
F1: On February 22, 2023, Reporting Person obtained loan from an affiliate ("Lender") in the form of an exchangeable bond in the principal amount of $5,440,000, which represented an obligation to sell. On June 23, 2023, Lender exercised the option to exchange the bond for 3,400,000 shares of Common Stock (at fixed conversion price of $1.60 per share).
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 |
|---|---|---|---|---|---|---|
| June 23, 2023 Filed Jun 27, 2023 18:20 UTC | EXICURE, INC. XCUR · Entity 8068 | ConversionCBI USA, Inc. 1st Bearer-type Interest Unsecured Private · Derivative | Not disclosed | $0.00 Strike: $1.60 | $5,440,000.00 |
DisclosureSEC source: 0000950170-23-030231 · ownership.xml · derivative · entry 2 CBI USA, Inc. · CIK 0001930189 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,400,000 shares Expires 2025-02-22 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 · kind: On February 22, 2023, Reporting Person obtained loan from an affiliate ("Lender") in the form of an exchangeable bond in the principal amount of $5,440,000, which represented an obligation to sell. On June 23, 2023, Lender exercised the option to exchange the bond for 3,400,000 shares of Common Stock (at fixed conversion price of $1.60 per share). Read SEC document |
| June 23, 2023 Filed Jun 27, 2023 18:20 UTC | EXICURE, INC. XCUR · Entity 8068 | ConversionCommon Stock | 3,400,000 | $1.60 | $5,440,000.00 |
DisclosureSEC source: 0000950170-23-030231 · ownership.xml · nonDerivative · entry 1 CBI USA, Inc. · CIK 0001930189 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 818,299 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 · kind: On February 22, 2023, Reporting Person obtained loan from an affiliate ("Lender") in the form of an exchangeable bond in the principal amount of $5,440,000, which represented an obligation to sell. On June 23, 2023, Lender exercised the option to exchange the bond for 3,400,000 shares of Common Stock (at fixed conversion price of $1.60 per share). Read SEC document |
| February 22, 2023 Filed Mar 9, 2023 07:50 UTC | EXICURE, INC. XCUR · Entity 8068 | OtherCBI USA, Inc. 1st Bearer-type Interest Unsecured Private · Derivative | 5,440,000 | $5,440,000.00 Strike: $1.60 | $29,593,600,000,000.00 |
DisclosureSEC source: 0000899243-23-007644 · doc4.xml · derivative · entry 1 CBI USA, Inc. · CIK 0001930189 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,440,000 Underlying: Common Stock · 3,400,000 shares Expires 2025-02-22 F1 · kind: Reporting Person obtained loan from an affiliate in the form of an exchangeable bond in the principal amount of $5,440,000. Lender will have the option to exchange the note for 3,400,000 shares of Common Stock (at fixed conversion price of $1.60 per share) from three months after issuance to five business days before the maturity date. The Reporting Person intends to repay the note prior to lender exercising the exchange option. Read SEC document |
| December 15, 2022 Filed Dec 19, 2022 16:54 UTC | EXICURE, INC. XCUR · Entity 8068 | PurchaseCommon Stock | 3,400,000 | $1.60 | $5,440,000.00 |
DisclosureSEC source: 0000899243-22-038993 · doc4.xml · nonDerivative · entry 1 CBI USA, Inc. · CIK 0001930189 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,218,299 F1 · date: On December 15, 2022, the stockholders of Exicure, Inc. approved the purchase by the Reporting Person of 3,400,000 shares of common stock at a price per share of $1.60 pursuant to the Securities Purchase Agreement, dated September 26, 2022. The purchase is expected to close promptly, but no later than January 20, 2023, subject to satisfaction or waiver of remaining conditions. Notwithstanding that the purchase has not closed yet, the Reporting Person may be deemed to beneficially own these shares due to satisfaction of the stockholder approval condition. 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.