Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Amneal Pharmaceuticals, Inc.AMRX · Entity 820 | SVP and CFO | February 27, 2020 | March 03, 2020 |
| NeuBase Therapeutics, Inc.NBSE · Entity 109568 | Chief Financial Officer | March 16, 2023 | March 17, 2023 |
| Phathom Pharmaceuticals, Inc.PHAT · Entity 5177 | Chief Financial Officer | January 28, 2021 | January 29, 2021 |
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.
Amneal Pharmaceuticals, Inc.
Report date February 27, 2020 · Filed March 03, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 83,113 |
Reported balance
After 2020-02-27 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-02-27 · Grant · Acquired 83,113 · Balance 83,113 F1: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock. F2: The restricted stock units vest in four equal annual installments beginning on February 27, 2021. |
| Performance-Based Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 166,226 |
Reported balance
After 2020-02-27 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-02-27 · Grant · Acquired 166,226 · Balance 166,226 F3: Each performance-based restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock. F4: Represents the maximum number of shares issuable under the performance-based restricted stock units. F5: 25% of the performance-based restricted stock units are earned and eligible to vest upon the Issuer's Class A Common Stock achieving an average closing price per share of $8 or higher for 60 consecutive calendar days during the three-year performance period. An additional 12.5% of the performance-based restricted stock units are earned and eligible to vest upon the Issuer's Class A Common Stock achieving an average closing price per share of $10, $12, $14, $16, $18 and $20, respectively, for 60 consecutive calendar days during the three-year performance period. For average 60-day closing stock prices between $12 and $20 per share, the number of performance-based restricted stock units that become earned will be determined using straight line interpolation. Any earned performance-based restricted stock units vest in full on February 28, 2023, the last day of the performance period. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock.
F2: The restricted stock units vest in four equal annual installments beginning on February 27, 2021.
F3: Each performance-based restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock.
F4: Represents the maximum number of shares issuable under the performance-based restricted stock units.
F5: 25% of the performance-based restricted stock units are earned and eligible to vest upon the Issuer's Class A Common Stock achieving an average closing price per share of $8 or higher for 60 consecutive calendar days during the three-year performance period. An additional 12.5% of the performance-based restricted stock units are earned and eligible to vest upon the Issuer's Class A Common Stock achieving an average closing price per share of $10, $12, $14, $16, $18 and $20, respectively, for 60 consecutive calendar days during the three-year performance period. For average 60-day closing stock prices between $12 and $20 per share, the number of performance-based restricted stock units that become earned will be determined using straight line interpolation. Any earned performance-based restricted stock units vest in full on February 28, 2023, the last day of the performance period.
NeuBase Therapeutics, Inc.
Report date March 16, 2023 · Filed March 17, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stockSEC Table I · non-derivative | Direct | 84,200 |
Reported balance
After 2023-03-16 transaction · row 1
1 source rowRow 1 · 2023-03-16 · Grant · Acquired 54,200 · Balance 84,200 F1: Restricted stock units to be settled by the issuance of one share of common stock for each restricted stock unit that is earned; 25% of which shall vest on March 16, 2024 and the remainder of which shall vest monthly thereafter until March 16, 2027, provided that vesting shall only occur on a scheduled vesting date if employment has not terminated prior to such vesting date, inclusive. Restricted stock units are subject to accelerated vesting, subject to certain conditions, in the event of a change of control of the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted stock units to be settled by the issuance of one share of common stock for each restricted stock unit that is earned; 25% of which shall vest on March 16, 2024 and the remainder of which shall vest monthly thereafter until March 16, 2027, provided that vesting shall only occur on a scheduled vesting date if employment has not terminated prior to such vesting date, inclusive. Restricted stock units are subject to accelerated vesting, subject to certain conditions, in the event of a change of control of the Issuer.
Phathom Pharmaceuticals, Inc.
Report date January 28, 2021 · Filed January 29, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $39.11 · Expires 2031-01-27 | Direct | 60,000 |
Reported balance
After 2021-01-28 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-01-28 · Grant · Acquired 60,000 · Balance 60,000 F1: The stock option will vest with respect to 25% of the shares of common stock on January 28, 2022, and will vest with respect to the remaining shares in equal monthly installments over the following three years, subject to the reporting person's continuous service to the Company on the applicable vesting dates. |
Filing footnotes · ownership attribution and instrument terms
F1: The stock option will vest with respect to 25% of the shares of common stock on January 28, 2022, and will vest with respect to the remaining shares in equal monthly installments over the following three years, subject to the reporting person's continuous service to the Company on the applicable vesting dates.
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 16, 2023 Filed Mar 17, 2023 16:11 UTC | NeuBase Therapeutics, Inc. NBSE · Entity 109568 | GrantCommon stock | 54,200 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-033858 · tm239873d2_4.xml · nonDerivative · entry 1 Branning Todd P. · CIK 0001765274 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,200 F1 · shares: Restricted stock units to be settled by the issuance of one share of common stock for each restricted stock unit that is earned; 25% of which shall vest on March 16, 2024 and the remainder of which shall vest monthly thereafter until March 16, 2027, provided that vesting shall only occur on a scheduled vesting date if employment has not terminated prior to such vesting date, inclusive. Restricted stock units are subject to accelerated vesting, subject to certain conditions, in the event of a change of control of the Issuer. Read SEC document |
| November 03, 2022 Filed Nov 4, 2022 17:00 UTC | NeuBase Therapeutics, Inc. NBSE · Entity 109568 | GrantStock option (right to buy) · Derivative | 200,000 | $0.00 Strike: $0.28 | $0.00 |
DisclosureSEC source: 0001104659-22-114954 · tm2229741d1_4.xml · derivative · entry 1 Branning Todd P. · CIK 0001765274 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2032-11-03 F1 · derivative.exercise_date: 50% of the total shares shall vest on March 1, 2023, and the remaining shares shall vest on November 1, 2023, provided that vesting shall only occur on a scheduled vesting date if employment has not terminated prior to such vesting date, inclusive. Shares are subject to accelerated vesting in the event of a change of control of the Issuer, provided that employment has not terminated prior to such vesting date, inclusive. Read SEC document |
| March 18, 2022 Filed Mar 21, 2022 16:06 UTC | NeuBase Therapeutics, Inc. NBSE · Entity 109568 | PurchaseCommon stock | 10,000 | $1.81 | $18,100.00 |
DisclosureSEC source: 0001104659-22-036105 · tm2210039-1_4seq1.xml · nonDerivative · entry 1 Branning Todd P. · CIK 0001765274 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Read SEC document |
| March 17, 2022 Filed Mar 18, 2022 16:11 UTC | NeuBase Therapeutics, Inc. NBSE · Entity 109568 | PurchaseCommon stock | 10,000 | $1.74 | $17,400.00 |
DisclosureSEC source: 0001104659-22-035572 · tm229793-1_4seq1.xml · nonDerivative · entry 2 Branning Todd P. · CIK 0001765274 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Read SEC document |
| March 16, 2022 Filed Mar 18, 2022 16:11 UTC | NeuBase Therapeutics, Inc. NBSE · Entity 109568 | PurchaseCommon stock | 10,000 | $1.62 | $16,200.00 |
DisclosureSEC source: 0001104659-22-035572 · tm229793-1_4seq1.xml · nonDerivative · entry 1 Branning Todd P. · CIK 0001765274 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Read SEC document |
| January 10, 2022 Filed Jan 10, 2022 19:19 UTC | NeuBase Therapeutics, Inc. NBSE · Entity 109568 | GrantEmployee stock option (right to buy) · Derivative | 300,000 | $0.00 Strike: $2.52 | $0.00 |
DisclosureSEC source: 0001104659-22-002844 · tm222244d2_4.xml · derivative · entry 1 Branning Todd P. · CIK 0001765274 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common stock · 300,000 shares Expires 2032-01-10 F1 · derivative.exercise_date: 1/4th of the total shares shall vest on the first anniversary of the effective date of employment, and 1/36th of the remaining shares shall vest on a monthly basis starting on the first anniversary of the effective date of employment; provided that vesting shall only occur on a scheduled vesting date if employment has not terminated prior to such vesting date, inclusive. Read SEC document |
| January 28, 2021 Filed Jan 29, 2021 16:28 UTC | Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 | GrantStock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $39.11 | $0.00 |
DisclosureSEC source: 0001209191-21-006095 · doc4.xml · derivative · entry 1 Branning Todd P. · CIK 0001765274 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2031-01-27 F1 · derivative.exercise_date: The stock option will vest with respect to 25% of the shares of common stock on January 28, 2022, and will vest with respect to the remaining shares in equal monthly installments over the following three years, subject to the reporting person's continuous service to the Company on the applicable vesting dates. Read SEC document |
| July 13, 2020 Filed Jul 13, 2020 16:50 UTC | Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 | GrantStock Option (Right to Buy) · Derivative | 85,000 | $0.00 Strike: $29.43 | $0.00 |
DisclosureSEC source: 0001209191-20-042292 · doc4.xml · derivative · entry 1 Branning Todd P. · CIK 0001765274 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,000 Underlying: Common Stock · 85,000 shares Expires 2030-07-12 F1 · derivative.exercise_date: The option will vest with respect to one-fourth of the shares of common stock on July 13, 2021, and will vest with respect to the remaining shares in equal monthly installments over the following three years, subject to the reporting person's continuous service to the Company on the applicable vesting dates. Read SEC document |
| February 27, 2020 Filed Mar 3, 2020 01:08 UTC | Amneal Pharmaceuticals, Inc. AMRX · Entity 820 | GrantPerformance-Based Restricted Stock Units · Derivative | 166,226 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-006627 · doc4.xml · derivative · entry 2 Branning Todd P. · CIK 0001765274 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,226 Underlying: Class A Common Stock · 166,226 shares Expires not disclosed F3 · derivative.exercise_price: Each performance-based restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock. F4 · shares: Represents the maximum number of shares issuable under the performance-based restricted stock units. F5 · derivative.exercise_date: 25% of the performance-based restricted stock units are earned and eligible to vest upon the Issuer's Class A Common Stock achieving an average closing price per share of $8 or higher for 60 consecutive calendar days during the three-year performance period. An additional 12.5% of the performance-based restricted stock units are earned and eligible to vest upon the Issuer's Class A Common Stock achieving an average closing price per share of $10, $12, $14, $16, $18 and $20, respectively, for 60 consecutive calendar days during the three-year performance period. For average 60-day closing stock prices between $12 and $20 per share, the number of performance-based restricted stock units that become earned will be determined using straight line interpolation. Any earned performance-based restricted stock units vest in full on February 28, 2023, the last day of the performance period. F5 · derivative.expiration_date: 25% of the performance-based restricted stock units are earned and eligible to vest upon the Issuer's Class A Common Stock achieving an average closing price per share of $8 or higher for 60 consecutive calendar days during the three-year performance period. An additional 12.5% of the performance-based restricted stock units are earned and eligible to vest upon the Issuer's Class A Common Stock achieving an average closing price per share of $10, $12, $14, $16, $18 and $20, respectively, for 60 consecutive calendar days during the three-year performance period. For average 60-day closing stock prices between $12 and $20 per share, the number of performance-based restricted stock units that become earned will be determined using straight line interpolation. Any earned performance-based restricted stock units vest in full on February 28, 2023, the last day of the performance period. Read SEC document |
| February 27, 2020 Filed Mar 3, 2020 01:08 UTC | Amneal Pharmaceuticals, Inc. AMRX · Entity 820 | GrantRestricted Stock Units · Derivative | 83,113 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-20-006627 · doc4.xml · derivative · entry 1 Branning Todd P. · CIK 0001765274 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,113 Underlying: Class A Common Stock · 83,113 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock. F2 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning on February 27, 2021. F2 · derivative.expiration_date: The restricted stock units vest in four equal annual installments beginning on February 27, 2021. Read SEC document |
| January 22, 2020 Filed Jan 23, 2020 22:42 UTC | Amneal Pharmaceuticals, Inc. AMRX · Entity 820 | Exercise / conversionRestricted Stock Units · Derivative | 20,096 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-004719 · doc4.xml · derivative · entry 3 Branning Todd P. · CIK 0001765274 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,290 Underlying: Class A Common Stock · 20,096 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. F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock. F4 · derivative.exercise_date: On January 22, 2019, the reporting person was granted 80,386 restricted stock units, vesting in four equal installments beginning on the first anniversary of the grant date. The restricted stock units do not expire. F4 · derivative.expiration_date: On January 22, 2019, the reporting person was granted 80,386 restricted stock units, vesting in four equal installments beginning on the first anniversary of the grant date. The restricted stock units do not expire. Read SEC document |
| January 22, 2020 Filed Jan 23, 2020 22:42 UTC | Amneal Pharmaceuticals, Inc. AMRX · Entity 820 | Tax withholdingClass A Common Stock | 7,311 | $5.13 | $37,505.43 |
DisclosureSEC source: 0001209191-20-004719 · doc4.xml · nonDerivative · entry 2 Branning Todd P. · CIK 0001765274 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,785 F3 · shares: Represents shares of common stock withheld to satisfy tax withholding obligations relating to the vesting of restricted stock units. Read SEC document |
| January 22, 2020 Filed Jan 23, 2020 22:42 UTC | Amneal Pharmaceuticals, Inc. AMRX · Entity 820 | Exercise / conversionClass A Common Stock | 20,096 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-004719 · doc4.xml · nonDerivative · entry 1 Branning Todd P. · CIK 0001765274 · SVP and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,096 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 · shares: Represents the gross number of shares of common stock awarded to the reporting person in connection with the vesting of restricted stock units. The actual number of shares issued was reduced by the number of shares withheld to satisfy tax withholding obligations. See footnote 3. F2 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock. Read SEC document |
| November 13, 2019 Filed Nov 14, 2019 22:26 UTC | Amneal Pharmaceuticals, Inc. AMRX · Entity 820 | GrantStock Option · Derivative | 163,666 | Not disclosed Strike: $2.75 | Not disclosed |
DisclosureSEC source: 0001723128-19-000127 · wf-form4_157377035410885.xml · derivative · entry 2 Branning Todd P. · CIK 0001765274 · SVP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,666 Underlying: Class A Common Stock · 163,666 shares Expires 2029-01-22 F1 · kind: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on January 22, 2019, and will vest in four equal annual installments beginning on January 22, 2020. F1 · price: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on January 22, 2019, and will vest in four equal annual installments beginning on January 22, 2020. F1 · derivative.exercise_date: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on January 22, 2019, and will vest in four equal annual installments beginning on January 22, 2020. Read SEC document |
| November 13, 2019 Filed Nov 14, 2019 22:26 UTC | Amneal Pharmaceuticals, Inc. AMRX · Entity 820 | Disposition to issuerStock Option · Derivative | 163,666 | Not disclosed Strike: $12.44 | Not disclosed |
DisclosureSEC source: 0001723128-19-000127 · wf-form4_157377035410885.xml · derivative · entry 1 Branning Todd P. · CIK 0001765274 · SVP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 163,666 shares Expires 2029-01-22 F1 · kind: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on January 22, 2019, and will vest in four equal annual installments beginning on January 22, 2020. F1 · price: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on January 22, 2019, and will vest in four equal annual installments beginning on January 22, 2020. F1 · derivative.exercise_date: The reported transactions involved an amendment of an outstanding stock option grant, resulting in the deemed cancellation of the old option and the grant of a replacement option. The option was originally granted on January 22, 2019, and will vest in four equal annual installments beginning on January 22, 2020. Read SEC document |
| January 22, 2019 Filed Jan 24, 2019 22:45 UTC | Amneal Pharmaceuticals, Inc. AMRX · Entity 820 | GrantRestricted Stock Units · Derivative | 80,386 | $0.00 | $0.00 |
DisclosureSEC source: 0001723128-19-000019 · wf-form4_154836993308270.xml · derivative · entry 2 Branning Todd P. · CIK 0001765274 · SVP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,386 Underlying: Class A Common Stock · 80,386 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock. F3 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning on January 22, 2020 and have no expiration date. F3 · derivative.expiration_date: The restricted stock units vest in four equal annual installments beginning on January 22, 2020 and have no expiration date. Read SEC document |
| January 22, 2019 Filed Jan 24, 2019 22:45 UTC | Amneal Pharmaceuticals, Inc. AMRX · Entity 820 | GrantStock Option · Derivative | 163,666 | $0.00 Strike: $12.44 | $0.00 |
DisclosureSEC source: 0001723128-19-000019 · wf-form4_154836993308270.xml · derivative · entry 1 Branning Todd P. · CIK 0001765274 · SVP, Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,666 Underlying: Class A Common Stock · 163,666 shares Expires 2029-01-22 F1 · derivative.exercise_date: The option vests in four equal annual installments beginning on January 22, 2020. 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.