Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| 9 METERS BIOPHARMA, INC.NMTR · Entity 114271 | Director | March 29, 2023 | March 31, 2023 |
| Edesa Biotech, Inc.EDSA · Entity 7223 | Director | February 28, 2022 | March 07, 2022 |
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.
9 METERS BIOPHARMA, INC.
Report date March 29, 2023 · Filed March 31, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 12,125 |
Reported balance
After 2023-03-29 transaction · row 1
1 source rowRow 1 · 2023-03-29 · Grant · Acquired 7,885 · Balance 12,125 F1: Represents Restricted Stock Units ("RSUs") granted pursuant to the 9 Meters Biopharma, Inc. 2022 Stock Incentive Plan. Each RSU represents a contingent right to receive one share of common stock upon the vesting date. The RSUs vest as follows: 3,943 shares vest on April 15, 2023 and 3,942 shares vest on December 31, 2023. The vesting of the December 31, 2023 RSUs will accelerate upon a Change in Control prior to December 31, 2023. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents Restricted Stock Units ("RSUs") granted pursuant to the 9 Meters Biopharma, Inc. 2022 Stock Incentive Plan. Each RSU represents a contingent right to receive one share of common stock upon the vesting date. The RSUs vest as follows: 3,943 shares vest on April 15, 2023 and 3,942 shares vest on December 31, 2023. The vesting of the December 31, 2023 RSUs will accelerate upon a Change in Control prior to December 31, 2023.
Edesa Biotech, Inc.
Report date February 28, 2022 · Filed March 07, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.71 · Expires 2032-02-28 | Direct | 11,000 |
Reported balance
After 2022-02-28 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-02-28 · Grant · Acquired 11,000 · Balance 11,000 F1: This option vests monthly in equal proportions over 12 months beginning on the Grant Date. |
Filing footnotes · ownership attribution and instrument terms
F1: This option vests monthly in equal proportions over 12 months beginning on the Grant 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 |
|---|---|---|---|---|---|---|
| March 29, 2023 Filed Mar 31, 2023 16:21 UTC | 9 METERS BIOPHARMA, INC. NMTR · Entity 114271 | GrantCommon Stock | 7,885 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001578563-23-000012 · primary_doc.xml · nonDerivative · entry 1 JOHNSON LORIN K · CIK 0001053878 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,125 F1 · price: Represents Restricted Stock Units ("RSUs") granted pursuant to the 9 Meters Biopharma, Inc. 2022 Stock Incentive Plan. Each RSU represents a contingent right to receive one share of common stock upon the vesting date. The RSUs vest as follows: 3,943 shares vest on April 15, 2023 and 3,942 shares vest on December 31, 2023. The vesting of the December 31, 2023 RSUs will accelerate upon a Change in Control prior to December 31, 2023. Read SEC document |
| June 22, 2022 Filed Jun 23, 2022 16:06 UTC | 9 METERS BIOPHARMA, INC. NMTR · Entity 114271 | GrantStock Option (Right to Buy) · Derivative | 142,509 | $0.00 Strike: $0.26 | $0.00 |
DisclosureSEC source: 0001551986-22-000059 · wf-form4_165601476301026.xml · derivative · entry 1 JOHNSON LORIN K · CIK 0001053878 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,509 Underlying: Common stock · 142,509 shares Expires 2032-06-22 F1 · derivative.exercise_date: The option shall vest in 36 equal monthly installments beginning June 22, 2022, subject to the director's continued service with the Company at each vest date. Read SEC document |
| February 28, 2022 Filed Mar 7, 2022 19:41 UTC | Edesa Biotech, Inc. EDSA · Entity 7223 | GrantStock Option (right to buy) · Derivative | 11,000 | $0.00 Strike: $3.71 | $0.00 |
DisclosureSEC source: 0001654954-22-002656 · section16.xml · derivative · entry 1 JOHNSON LORIN K · CIK 0001053878 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,000 Underlying: Common Shares · 11,000 shares Expires 2032-02-28 F1 · derivative.exercise_date: This option vests monthly in equal proportions over 12 months beginning on the Grant Date. Read SEC document |
| June 22, 2021 Filed Jun 23, 2021 16:15 UTC | 9 METERS BIOPHARMA, INC. NMTR · Entity 114271 | GrantStock Option (Right to Buy) · Derivative | 90,000 | $0.00 Strike: $1.38 | $0.00 |
DisclosureSEC source: 0001551986-21-000077 · wf-form4_162447931139453.xml · derivative · entry 1 JOHNSON LORIN K · CIK 0001053878 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,000 Underlying: Common stock · 90,000 shares Expires 2031-06-22 F1 · derivative.exercise_date: The option shall vest in 36 equal monthly installments beginning June 22, 2021, subject to the director's continued service with the Company at each vest date. Read SEC document |
| April 22, 2021 Filed Apr 26, 2021 17:04 UTC | Edesa Biotech, Inc. EDSA · Entity 7223 | GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $5.45 | $0.00 |
DisclosureSEC source: 0001654954-21-004638 · section16.xml · derivative · entry 1 JOHNSON LORIN K · CIK 0001053878 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2031-04-22 F1 · derivative.exercise_date: This option vests monthly in equal proportions over 12 months beginning on the Grant Date. Read SEC document |
| November 09, 2020 Filed Nov 9, 2020 18:01 UTC | Edesa Biotech, Inc. EDSA · Entity 7223 | OtherCommon Share Warrants (Right to Buy) · Derivative | 4,262 | $0.00 Strike: $4.00 | $0.00 |
DisclosureSEC source: 0001654954-20-012045 · section16.xml · derivative · entry 2 JOHNSON LORIN K · CIK 0001053878 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 4,262 shares Expires 2020-11-08 Read SEC document |
| November 09, 2020 Filed Nov 9, 2020 18:01 UTC | Edesa Biotech, Inc. EDSA · Entity 7223 | OtherCommon Shares | 4,262 | $4.00 | $17,048.00 |
DisclosureSEC source: 0001654954-20-012045 · section16.xml · nonDerivative · entry 1 JOHNSON LORIN K · CIK 0001053878 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,786 Read SEC document |
| October 13, 2020 Filed Oct 14, 2020 15:50 UTC | Edesa Biotech, Inc. EDSA · Entity 7223 | GrantStock option (right to buy) · Derivative | 20,000 | $0.00 Strike: $7.44 | $0.00 |
DisclosureSEC source: 0001654954-20-011139 · section16.xml · derivative · entry 1 JOHNSON LORIN K · CIK 0001053878 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common shares · 20,000 shares Expires 2030-10-13 F1 · derivative.exercise_date: This option vests monthly in equal proportions over 36 months beginning on the Grant Date. Read SEC document |
| July 06, 2020 Filed Jul 8, 2020 16:30 UTC | 9 METERS BIOPHARMA, INC. NMTR · Entity 114271 | GrantStock Option (Right to Buy) · Derivative | 150,000 | $0.00 Strike: $0.62 | $0.00 |
DisclosureSEC source: 0001551986-20-000223 · wf-form4_159424019563681.xml · derivative · entry 1 JOHNSON LORIN K · CIK 0001053878 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common stock · 150,000 shares Expires 2030-07-06 F1 · derivative.exercise_date: The option shall vest in 36 equal monthly installments beginning July 6, 2020. Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 16:22 UTC | 9 METERS BIOPHARMA, INC. NMTR · Entity 114271 | ConversionSeries A Convertible Preferred Stock · Derivative | 848 | $0.00 | $0.00 |
DisclosureSEC source: 0001551986-20-000203 · wf-form4_159372134719404.xml · derivative · entry 2 JOHNSON LORIN K · CIK 0001053878 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common stock · 84,800 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: The Series A Convertible Preferred Stock automatically converted to common stock on a 1-to-100 basis upon approval by the Company's stockholders on June 30, 2020. F1 · derivative.expiration_date: The Series A Convertible Preferred Stock automatically converted to common stock on a 1-to-100 basis upon approval by the Company's stockholders on June 30, 2020. Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 16:22 UTC | 9 METERS BIOPHARMA, INC. NMTR · Entity 114271 | ConversionCommon stock | 84,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001551986-20-000203 · wf-form4_159372134719404.xml · nonDerivative · entry 1 JOHNSON LORIN K · CIK 0001053878 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,800 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 |
| May 04, 2020 Filed May 4, 2020 18:48 UTC | 9 METERS BIOPHARMA, INC. NMTR · Entity 114271 | PurchaseSeries A Convertible Preferred Warrant · Derivative | 848 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001551986-20-000117 · wf-form4_158863251060904.xml · derivative · entry 2 JOHNSON LORIN K · CIK 0001053878 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,800 Underlying: Common stock · 84,800 shares Expires 2025-05-04 F2 · derivative.exercise_price: The purchase price of the warrant was included with the purchase price of the Series A Convertible Preferred Stock. The Series A Preferred Warrant is convertible into Series A Preferred Stock on a 1-for-1 basis. F2 · price: The purchase price of the warrant was included with the purchase price of the Series A Convertible Preferred Stock. The Series A Preferred Warrant is convertible into Series A Preferred Stock on a 1-for-1 basis. Read SEC document |
| May 04, 2020 Filed May 4, 2020 18:48 UTC | 9 METERS BIOPHARMA, INC. NMTR · Entity 114271 | PurchaseSeries A Convertible Preferred Stock · Derivative | 848 | $0.00 | $0.00 |
DisclosureSEC source: 0001551986-20-000117 · wf-form4_158863251060904.xml · derivative · entry 1 JOHNSON LORIN K · CIK 0001053878 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,800 Underlying: Common stock · 84,800 shares Expires not disclosed F1 · derivative.exercise_price: The purchase price of the Series A Convertible Preferred Stock was $58.94 per share. The Series A Preferred Stock is convertible into Common Stock upon stockholder approval on a 1-for-100 basis, with no expiration date. F1 · derivative.expiration_date: The purchase price of the Series A Convertible Preferred Stock was $58.94 per share. The Series A Preferred Stock is convertible into Common Stock upon stockholder approval on a 1-for-100 basis, with no expiration date. Read SEC document |
| April 24, 2020 Filed May 4, 2020 18:04 UTC | 9 METERS BIOPHARMA, INC. NMTR · Entity 114271 | GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $0.60 | $0.00 |
DisclosureSEC source: 0001551986-20-000109 · wf-form4_158862984124506.xml · derivative · entry 1 JOHNSON LORIN K · CIK 0001053878 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common stock · 25,000 shares Expires 2030-04-24 F1 · derivative.exercise_date: The option vested in full on 4/24/2020. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 18:19 UTC | Edesa Biotech, Inc. EDSA · Entity 7223 | GrantShare Option (Right to Buy) · Derivative | 11,389 | $0.00 Strike: $3.16 | $0.00 |
DisclosureSEC source: 0001654954-20-001652 · section16.xml · derivative · entry 1 JOHNSON LORIN K · CIK 0001053878 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,389 Underlying: Common Shares · 11,389 shares Expires 2030-02-12 F1 · derivative.exercise_date: 33% vested on 2/12/2020, with a prorata amount of the balance vesting monthly thereafter over the next 36 months until fully vested Read SEC document |
| January 08, 2020 Filed Jan 10, 2020 14:11 UTC | Edesa Biotech, Inc. EDSA · Entity 7223 | PurchaseCommon Share Warrants (Right to Buy) · Derivative | 4,262 | Not disclosed Strike: $4.00 | Not disclosed |
DisclosureSEC source: 0001654954-20-000267 · section16.xml · derivative · entry 3 JOHNSON LORIN K · CIK 0001053878 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,262 Underlying: Common Shares · 4,262 shares Expires 2020-11-08 F3 · security: Consists of Class B Warrants to purchase Common Shares. The Class B Warrants are exercisable beginning on July 8, 2020 and expire on November 8, 2020. F1 · price: The reported securities are included within 8,524 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. Read SEC document |
| January 08, 2020 Filed Jan 10, 2020 14:11 UTC | Edesa Biotech, Inc. EDSA · Entity 7223 | PurchaseCommon Share Warrants (Right to Buy) · Derivative | 6,393 | Not disclosed Strike: $4.80 | Not disclosed |
DisclosureSEC source: 0001654954-20-000267 · section16.xml · derivative · entry 2 JOHNSON LORIN K · CIK 0001053878 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,393 Underlying: Common Shares · 6,393 shares Expires 2023-07-08 F2 · security: Consists of Class A Warrants to purchase Common Shares. The Class A Warrants are exercisable beginning on July 8, 2020 and expire on July 8, 2023. F1 · price: The reported securities are included within 8,524 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. Read SEC document |
| January 08, 2020 Filed Jan 10, 2020 14:11 UTC | Edesa Biotech, Inc. EDSA · Entity 7223 | PurchaseCommon Shares | 8,524 | $4.11 | $35,033.64 |
DisclosureSEC source: 0001654954-20-000267 · section16.xml · nonDerivative · entry 1 JOHNSON LORIN K · CIK 0001053878 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,524 F1 · price: The reported securities are included within 8,524 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. Read SEC document |
| January 08, 2020 Filed Jan 13, 2020 08:30 UTC Amendment | Edesa Biotech, Inc. EDSA · Entity 7223 | GrantCommon Share Warrants (Right to Buy) · Derivative | 4,262 | Not disclosed Strike: $4.00 | Not disclosed |
DisclosureSEC source: 0001654954-20-000335 · section16.xml · derivative · entry 3 JOHNSON LORIN K · CIK 0001053878 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,262 Underlying: Common Shares · 4,262 shares Expires 2020-11-08 F3 · security: Consists of Class B Warrants to purchase Common Shares. The Class B Warrants are exercisable beginning on July 8, 2020 and expire on November 8, 2020. F4 · kind: Amended to reflect acquisition from the issuer. F1 · price: The reported securities are included within 8,524 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. Read SEC document |
| January 08, 2020 Filed Jan 13, 2020 08:30 UTC Amendment | Edesa Biotech, Inc. EDSA · Entity 7223 | GrantCommon Share Warrants (Right to Buy) · Derivative | 6,393 | Not disclosed Strike: $4.80 | Not disclosed |
DisclosureSEC source: 0001654954-20-000335 · section16.xml · derivative · entry 2 JOHNSON LORIN K · CIK 0001053878 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,393 Underlying: Common Shares · 6,393 shares Expires 2023-07-08 F2 · security: Consists of Class A Warrants to purchase Common Shares. The Class A Warrants are exercisable beginning on July 8, 2020 and expire on July 8, 2023. F4 · kind: Amended to reflect acquisition from the issuer. F1 · price: The reported securities are included within 8,524 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. Read SEC document |
| January 08, 2020 Filed Jan 13, 2020 08:30 UTC Amendment | Edesa Biotech, Inc. EDSA · Entity 7223 | GrantCommon Shares | 8,524 | $4.11 | $35,033.64 |
DisclosureSEC source: 0001654954-20-000335 · section16.xml · nonDerivative · entry 1 JOHNSON LORIN K · CIK 0001053878 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,524 F4 · kind: Amended to reflect acquisition from the issuer. F1 · price: The reported securities are included within 8,524 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. Read SEC document |
| May 31, 2019 Filed Jun 4, 2019 21:13 UTC | 9 METERS BIOPHARMA, INC. INNT · Entity 114271 | GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $1.28 | $0.00 |
DisclosureSEC source: 0001551986-19-000072 · wf-form4_155969716584228.xml · derivative · entry 1 JOHNSON LORIN K · CIK 0001053878 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common stock · 25,000 shares Expires 2029-05-31 F1 · derivative.exercise_date: Grant to the reporting person of stock options under the Innovate Biopharmaceuticals, Inc. 2012 Omnibus Incentive Plan. These stock options vest in 36 equal monthly installments. Read SEC document |
| December 04, 2018 Filed Dec 7, 2018 17:21 UTC | 9 METERS BIOPHARMA, INC. INNT · Entity 114271 | GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $2.41 | $0.00 |
DisclosureSEC source: 0001551986-18-000069 · wf-form4_154422129158239.xml · derivative · entry 1 JOHNSON LORIN K · CIK 0001053878 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common stock · 25,000 shares Expires 2028-12-04 F1 · derivative.exercise_date: Grant to the reporting person of stock options under the Innovate Biopharmaceuticals, Inc. 2012 Omnibus Incentive Plan. These stock options vest in 36 equal monthly installments. 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.