Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Orchestra BioMed Holdings, Inc.OBIO · Entity 434 | Chief Financial Officer | January 26, 2023 | May 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.
Orchestra BioMed Holdings, Inc.
Report date January 26, 2023 · Filed May 19, 2023 · 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 |
|---|---|---|---|
| Nonstatutory Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.00 · Expires 2032-08-17 | Direct | 192,566 |
Reported balance
After 2023-01-26 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2023-01-26 · Grant · Acquired 192,566 · Balance 192,566 F1: On January 30, 2023, the Reporting Person filed a Form 4 which inadvertently (i) misstated the expiration date of one class of nonstatutory stock options ("NSOs") and (ii) misstated the vesting schedule for such NSOs. In accordance with Instruction 9(b) to Form 4, this amendment is filed solely to (i) correct the incorrect expiration date in Table II, Column 6 to August 17, 2032, and (ii) correct the incorrect vesting schedule set forth in the footnote corresponding to such NSOs, which is reproduced in this amendment with the correct vesting schedule; as provided in that instruction, the remainder of the information in the original filing is not restated in this amendment, and no other amendment is made to the original filing. F3: Received in the Business Combination in exchange for a nonstatutory stock option to acquire 414,120 shares of Legacy Orchestra Common Stock for $4.65 per share. F2: The NSOs have vested and will vest in equal installments over a three-year period on a quarterly basis on the last day of each quarter, starting with September 30, 2022, subject to the Reporting Person's continuous service through such dates. The grant date is August 18, 2022. |
Filing footnotes · ownership attribution and instrument terms
F1: On January 30, 2023, the Reporting Person filed a Form 4 which inadvertently (i) misstated the expiration date of one class of nonstatutory stock options ("NSOs") and (ii) misstated the vesting schedule for such NSOs. In accordance with Instruction 9(b) to Form 4, this amendment is filed solely to (i) correct the incorrect expiration date in Table II, Column 6 to August 17, 2032, and (ii) correct the incorrect vesting schedule set forth in the footnote corresponding to such NSOs, which is reproduced in this amendment with the correct vesting schedule; as provided in that instruction, the remainder of the information in the original filing is not restated in this amendment, and no other amendment is made to the original filing.
F2: The NSOs have vested and will vest in equal installments over a three-year period on a quarterly basis on the last day of each quarter, starting with September 30, 2022, subject to the Reporting Person's continuous service through such dates. The grant date is August 18, 2022.
F3: Received in the Business Combination in exchange for a nonstatutory stock option to acquire 414,120 shares of Legacy Orchestra Common Stock for $4.65 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 |
|---|---|---|---|---|---|---|
| April 12, 2023 Filed May 6, 2023 00:17 UTC | Orchestra BioMed Holdings, Inc. OBIO · Entity 434 | Exercise / conversionRight to Receive Earnout Shares · Derivative | 29,029 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-23-037025 · ownership.xml · derivative · entry 2 Kaswan Michael · CIK 0001324483 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,029 Underlying: Common Stock · 29,029 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. F1 · derivative.exercise_price: Pursuant to the Agreement and Plan of Merger, dated as of July 4, 2022 (and as subsequently amended) by and among the Issuer and certain other parties named therein (the "Merger Agreement"), the Reporting Person has the contingent right to receive, for no additional consideration, the Reporting Person's Pro Rata Portion (as such term is defined in the Merger Agreement ) of 8,000,000 shares of common stock of the Issuer (the "Earnout Shares") if, at any time from January 26, 2023 until January 26, 2028, the volume-weighted average price of the common stock of the Issuer is greater than or equal to (i) with respect to 4,000,000 Earnout Shares, $15.00 per share over any 20 trading days within any 30-trading day period (the "Initial Milestone Event") and (ii) with respect to 4,000,000 Earnout Shares, $20.00 per share over any 20 trading days within any 30-trading day period. F2 · derivative.exercise_price: The Initial Milestone Event occurred on April 12, 2023 and 29,029 shares of Common Stock were issued to the Reporting Person on April 19, 2023 in accordance with the Merger Agreement. F1 · kind: Pursuant to the Agreement and Plan of Merger, dated as of July 4, 2022 (and as subsequently amended) by and among the Issuer and certain other parties named therein (the "Merger Agreement"), the Reporting Person has the contingent right to receive, for no additional consideration, the Reporting Person's Pro Rata Portion (as such term is defined in the Merger Agreement ) of 8,000,000 shares of common stock of the Issuer (the "Earnout Shares") if, at any time from January 26, 2023 until January 26, 2028, the volume-weighted average price of the common stock of the Issuer is greater than or equal to (i) with respect to 4,000,000 Earnout Shares, $15.00 per share over any 20 trading days within any 30-trading day period (the "Initial Milestone Event") and (ii) with respect to 4,000,000 Earnout Shares, $20.00 per share over any 20 trading days within any 30-trading day period. F2 · kind: The Initial Milestone Event occurred on April 12, 2023 and 29,029 shares of Common Stock were issued to the Reporting Person on April 19, 2023 in accordance with the Merger Agreement. F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of July 4, 2022 (and as subsequently amended) by and among the Issuer and certain other parties named therein (the "Merger Agreement"), the Reporting Person has the contingent right to receive, for no additional consideration, the Reporting Person's Pro Rata Portion (as such term is defined in the Merger Agreement ) of 8,000,000 shares of common stock of the Issuer (the "Earnout Shares") if, at any time from January 26, 2023 until January 26, 2028, the volume-weighted average price of the common stock of the Issuer is greater than or equal to (i) with respect to 4,000,000 Earnout Shares, $15.00 per share over any 20 trading days within any 30-trading day period (the "Initial Milestone Event") and (ii) with respect to 4,000,000 Earnout Shares, $20.00 per share over any 20 trading days within any 30-trading day period. F2 · price: The Initial Milestone Event occurred on April 12, 2023 and 29,029 shares of Common Stock were issued to the Reporting Person on April 19, 2023 in accordance with the Merger Agreement. F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger, dated as of July 4, 2022 (and as subsequently amended) by and among the Issuer and certain other parties named therein (the "Merger Agreement"), the Reporting Person has the contingent right to receive, for no additional consideration, the Reporting Person's Pro Rata Portion (as such term is defined in the Merger Agreement ) of 8,000,000 shares of common stock of the Issuer (the "Earnout Shares") if, at any time from January 26, 2023 until January 26, 2028, the volume-weighted average price of the common stock of the Issuer is greater than or equal to (i) with respect to 4,000,000 Earnout Shares, $15.00 per share over any 20 trading days within any 30-trading day period (the "Initial Milestone Event") and (ii) with respect to 4,000,000 Earnout Shares, $20.00 per share over any 20 trading days within any 30-trading day period. F2 · derivative.exercise_date: The Initial Milestone Event occurred on April 12, 2023 and 29,029 shares of Common Stock were issued to the Reporting Person on April 19, 2023 in accordance with the Merger Agreement. F1 · derivative.expiration_date: Pursuant to the Agreement and Plan of Merger, dated as of July 4, 2022 (and as subsequently amended) by and among the Issuer and certain other parties named therein (the "Merger Agreement"), the Reporting Person has the contingent right to receive, for no additional consideration, the Reporting Person's Pro Rata Portion (as such term is defined in the Merger Agreement ) of 8,000,000 shares of common stock of the Issuer (the "Earnout Shares") if, at any time from January 26, 2023 until January 26, 2028, the volume-weighted average price of the common stock of the Issuer is greater than or equal to (i) with respect to 4,000,000 Earnout Shares, $15.00 per share over any 20 trading days within any 30-trading day period (the "Initial Milestone Event") and (ii) with respect to 4,000,000 Earnout Shares, $20.00 per share over any 20 trading days within any 30-trading day period. F2 · derivative.expiration_date: The Initial Milestone Event occurred on April 12, 2023 and 29,029 shares of Common Stock were issued to the Reporting Person on April 19, 2023 in accordance with the Merger Agreement. Read SEC document |
| April 12, 2023 Filed May 6, 2023 00:17 UTC | Orchestra BioMed Holdings, Inc. OBIO · Entity 434 | Exercise / conversionCommon Stock, par value $0.0001 per share ("Common Stock") | 29,029 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-23-037025 · ownership.xml · nonDerivative · entry 1 Kaswan Michael · CIK 0001324483 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 162,574 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: Pursuant to the Agreement and Plan of Merger, dated as of July 4, 2022 (and as subsequently amended) by and among the Issuer and certain other parties named therein (the "Merger Agreement"), the Reporting Person has the contingent right to receive, for no additional consideration, the Reporting Person's Pro Rata Portion (as such term is defined in the Merger Agreement ) of 8,000,000 shares of common stock of the Issuer (the "Earnout Shares") if, at any time from January 26, 2023 until January 26, 2028, the volume-weighted average price of the common stock of the Issuer is greater than or equal to (i) with respect to 4,000,000 Earnout Shares, $15.00 per share over any 20 trading days within any 30-trading day period (the "Initial Milestone Event") and (ii) with respect to 4,000,000 Earnout Shares, $20.00 per share over any 20 trading days within any 30-trading day period. F2 · kind: The Initial Milestone Event occurred on April 12, 2023 and 29,029 shares of Common Stock were issued to the Reporting Person on April 19, 2023 in accordance with the Merger Agreement. F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of July 4, 2022 (and as subsequently amended) by and among the Issuer and certain other parties named therein (the "Merger Agreement"), the Reporting Person has the contingent right to receive, for no additional consideration, the Reporting Person's Pro Rata Portion (as such term is defined in the Merger Agreement ) of 8,000,000 shares of common stock of the Issuer (the "Earnout Shares") if, at any time from January 26, 2023 until January 26, 2028, the volume-weighted average price of the common stock of the Issuer is greater than or equal to (i) with respect to 4,000,000 Earnout Shares, $15.00 per share over any 20 trading days within any 30-trading day period (the "Initial Milestone Event") and (ii) with respect to 4,000,000 Earnout Shares, $20.00 per share over any 20 trading days within any 30-trading day period. F2 · price: The Initial Milestone Event occurred on April 12, 2023 and 29,029 shares of Common Stock were issued to the Reporting Person on April 19, 2023 in accordance with the Merger Agreement. Read SEC document |
| January 26, 2023 Filed Jan 31, 2023 02:35 UTC | Orchestra BioMed Holdings, Inc. OBIO · Entity 434 | GrantNonstatutory Stock Option (Right to Buy) · Derivative | 192,566 | Not disclosed Strike: $10.00 | Not disclosed |
DisclosureSEC source: 0001213900-23-006196 · ownership.xml · derivative · entry 2 Kaswan Michael · CIK 0001324483 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,566 Underlying: Common Stock · 192,566 shares Expires 2032-08-25 F4 · price: Received in the Business Combination in exchange for a nonstatutory stock option to acquire 414,120 shares of Legacy Orchestra Common Stock for $4.65 per share. F3 · derivative.exercise_date: The nonstatutory stock options have vested and will vest in equal installments over a three-year period on a quarterly basis on the last day of each quarter, starting with the end of the first quarter after the grant date, subject to the Reporting Person's continuous service through such dates. The grant date is August 18, 2022. Read SEC document |
| January 26, 2023 Filed Jan 31, 2023 02:35 UTC | Orchestra BioMed Holdings, Inc. OBIO · Entity 434 | GrantCommon Stock, par value $0.0001 per share ("Common Stock") | 133,545 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-23-006196 · ownership.xml · nonDerivative · entry 1 Kaswan Michael · CIK 0001324483 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,545 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan of Merger, dated as of July 4, 2022, as amended by Amendment No. 1 thereto dated as of July 21, 2022 and Amendment No. 2 thereto dated as of November 21, 2022 (as amended, the "Merger Agreement"), by and among Orchestra BioMed Holdings, Inc. (f/k/a Health Sciences Acquisitions Corporation 2) ("HSAC2"), HSAC Olympus Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of HSAC2, and Orchestra BioMed, Inc., a Delaware corporation ("Legacy Orchestra"), in exchange for Legacy Orchestra securities. F2 · price: Received in the Business Combination in exchange for 287,194 shares of common stock of Legacy Orchestra ("Legacy Orchestra Common Stock"). Read SEC document |
| January 26, 2023 Filed May 6, 2023 00:10 UTC Amendment | Orchestra BioMed Holdings, Inc. OBIO · Entity 434 | GrantRight to Receive Earnout Shares · Derivative | 58,058 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-23-037014 · ownership.xml · derivative · entry 1 Kaswan Michael · CIK 0001324483 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 58,058 Underlying: Common Stock · 58,058 shares Expires not disclosed F1 · security: On January 30, 2023, the Reporting Person filed a Form 4 which inadvertently omitted the right to receive Earnout Shares (defined below). In accordance with Instruction 9(a) to Form 4, this amendment is filed solely to add the lines of information to Table II included here; as provided in that instruction, the remainder of the information in the original filing is not restated in this amendment, and no other amendment is made to the original filing. F2 · derivative.exercise_price: Pursuant to the Agreement and Plan of Merger, dated as of July 4, 2022 (and as subsequently amended) by and among the Issuer and certain other parties named therein (the "Merger Agreement"), the Reporting Person has the contingent right to receive, for no additional consideration, the Reporting Person's Pro Rata Portion (as such term is defined in the Merger Agreement) of 8,000,000 shares of common stock of the Issuer (the "Earnout Shares") if, at any time from January 26, 2023 until January 26, 2028, the volume-weighted average price of the common stock of the Issuer is greater than or equal to (i) with respect to 4,000,000 Earnout Shares, $15.00 per share over any 20 trading days within any 30-trading day period and (ii) with respect to 4,000,000 Earnout Shares, $20.00 per share over any 20 trading days within any 30-trading day period. F2 · price: Pursuant to the Agreement and Plan of Merger, dated as of July 4, 2022 (and as subsequently amended) by and among the Issuer and certain other parties named therein (the "Merger Agreement"), the Reporting Person has the contingent right to receive, for no additional consideration, the Reporting Person's Pro Rata Portion (as such term is defined in the Merger Agreement) of 8,000,000 shares of common stock of the Issuer (the "Earnout Shares") if, at any time from January 26, 2023 until January 26, 2028, the volume-weighted average price of the common stock of the Issuer is greater than or equal to (i) with respect to 4,000,000 Earnout Shares, $15.00 per share over any 20 trading days within any 30-trading day period and (ii) with respect to 4,000,000 Earnout Shares, $20.00 per share over any 20 trading days within any 30-trading day period. F2 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger, dated as of July 4, 2022 (and as subsequently amended) by and among the Issuer and certain other parties named therein (the "Merger Agreement"), the Reporting Person has the contingent right to receive, for no additional consideration, the Reporting Person's Pro Rata Portion (as such term is defined in the Merger Agreement) of 8,000,000 shares of common stock of the Issuer (the "Earnout Shares") if, at any time from January 26, 2023 until January 26, 2028, the volume-weighted average price of the common stock of the Issuer is greater than or equal to (i) with respect to 4,000,000 Earnout Shares, $15.00 per share over any 20 trading days within any 30-trading day period and (ii) with respect to 4,000,000 Earnout Shares, $20.00 per share over any 20 trading days within any 30-trading day period. F2 · derivative.expiration_date: Pursuant to the Agreement and Plan of Merger, dated as of July 4, 2022 (and as subsequently amended) by and among the Issuer and certain other parties named therein (the "Merger Agreement"), the Reporting Person has the contingent right to receive, for no additional consideration, the Reporting Person's Pro Rata Portion (as such term is defined in the Merger Agreement) of 8,000,000 shares of common stock of the Issuer (the "Earnout Shares") if, at any time from January 26, 2023 until January 26, 2028, the volume-weighted average price of the common stock of the Issuer is greater than or equal to (i) with respect to 4,000,000 Earnout Shares, $15.00 per share over any 20 trading days within any 30-trading day period and (ii) with respect to 4,000,000 Earnout Shares, $20.00 per share over any 20 trading days within any 30-trading day period. Read SEC document |
| January 26, 2023 Filed May 19, 2023 21:55 UTC Amendment | Orchestra BioMed Holdings, Inc. OBIO · Entity 434 | GrantNonstatutory Stock Option (Right to Buy) · Derivative | 192,566 | Not disclosed Strike: $10.00 | Not disclosed |
DisclosureSEC source: 0001213900-23-041629 · ownership.xml · derivative · entry 1 Kaswan Michael · CIK 0001324483 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 192,566 Underlying: Common Stock · 192,566 shares Expires 2032-08-17 F1 · security: On January 30, 2023, the Reporting Person filed a Form 4 which inadvertently (i) misstated the expiration date of one class of nonstatutory stock options ("NSOs") and (ii) misstated the vesting schedule for such NSOs. In accordance with Instruction 9(b) to Form 4, this amendment is filed solely to (i) correct the incorrect expiration date in Table II, Column 6 to August 17, 2032, and (ii) correct the incorrect vesting schedule set forth in the footnote corresponding to such NSOs, which is reproduced in this amendment with the correct vesting schedule; as provided in that instruction, the remainder of the information in the original filing is not restated in this amendment, and no other amendment is made to the original filing. F3 · price: Received in the Business Combination in exchange for a nonstatutory stock option to acquire 414,120 shares of Legacy Orchestra Common Stock for $4.65 per share. F2 · derivative.exercise_date: The NSOs have vested and will vest in equal installments over a three-year period on a quarterly basis on the last day of each quarter, starting with September 30, 2022, subject to the Reporting Person's continuous service through such dates. The grant date is August 18, 2022. 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.