Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Evofem Biosciences, Inc.NEOT · Entity 8607 | Chief Financial Officer | June 22, 2017 | June 23, 2017 |
| Histogen Inc.HSTO · Entity 112047 | COO and CFO | March 10, 2023 | March 14, 2023 |
| Pfenex Inc.PFNX · Entity 146052 | Chief Financial Officer | February 01, 2019 | February 04, 2019 |
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.
Evofem Biosciences, Inc.
Report date June 22, 2017 · Filed June 23, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.27 · Expires 2027-06-22 | Direct | 65,000 |
Reported balance
After 2017-06-22 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-06-22 · Grant · Acquired 65,000 · Balance 65,000 F1: Option shares vest and become exercisable in twenty-four (24) successive equal monthly installments measured from June 22, 2017. |
Filing footnotes · ownership attribution and instrument terms
F1: Option shares vest and become exercisable in twenty-four (24) successive equal monthly installments measured from June 22, 2017.
Histogen Inc.
Report date March 10, 2023 · Filed March 14, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.95 · Expires 2033-03-10 | Direct | 79,027 |
Reported balance
After 2023-03-10 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-03-10 · Grant · Acquired 79,027 · Balance 79,027 F1: 1/4 of the shares subject to the option vest one year after the date of grant, on 3/10/2024, and the remaining 1/36 of the shares vest on a monthly basis thereafter. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.95 · Expires 2033-03-10 | Direct | 27,766 |
Reported balance
After 2023-03-10 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-03-10 · Grant · Acquired 27,766 · Balance 27,766 F1: 1/4 of the shares subject to the option vest one year after the date of grant, on 3/10/2024, and the remaining 1/36 of the shares vest on a monthly basis thereafter. F2: The shares subject to this option are subject to forfeiture in the event that the shares available pursuant to the Issuer's 2020 Incentive Award Plan are not increased prior to the one-year anniversary and vesting of the award by an amount required to be available for issuance for all outstanding stock awards containing this forfeiture condition. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $92.20 · Expires 2030-05-27 | Direct | 0 |
Reported balance
After 2023-03-10 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-03-10 · Disposition to issuer · Disposed 6,206 · Balance 0 F3: Effective June 2, 2022, the Issuer effected a 1-for-20 reverse stock split of the Company's issued and outstanding common stock, par value $0.0001 per share. F4: On March 10, 2023, the Issuer and the Reporting Person agreed to cancel the stock option award. F5: 1/4 of the shares subject to the option vested one year after the date of grant, on 5/27/2021, and the remaining 1/36 of the shares vest on a monthly basis thereafter. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $19.40 · Expires 2031-01-13 | Direct | 0 |
Reported balance
After 2023-03-10 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2023-03-10 · Disposition to issuer · Disposed 5,600 · Balance 0 F3: Effective June 2, 2022, the Issuer effected a 1-for-20 reverse stock split of the Company's issued and outstanding common stock, par value $0.0001 per share. F4: On March 10, 2023, the Issuer and the Reporting Person agreed to cancel the stock option award. F6: 1/4 of the shares subject to the option vested one year after the date of grant, on 1/13/2022, and the remaining 1/36 of the shares vest on a monthly basis thereafter. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.80 · Expires 2032-02-17 | Direct | 0 |
Reported balance
After 2023-03-10 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2023-03-10 · Disposition to issuer · Disposed 8,490 · Balance 0 F3: Effective June 2, 2022, the Issuer effected a 1-for-20 reverse stock split of the Company's issued and outstanding common stock, par value $0.0001 per share. F4: On March 10, 2023, the Issuer and the Reporting Person agreed to cancel the stock option award. F7: 1/4 of the shares subject to the option vested one year after the date of grant, on 2/17/2023, and the remaining 1/36 of the shares vest on a monthly basis thereafter. |
Filing footnotes · ownership attribution and instrument terms
F1: 1/4 of the shares subject to the option vest one year after the date of grant, on 3/10/2024, and the remaining 1/36 of the shares vest on a monthly basis thereafter.
F2: The shares subject to this option are subject to forfeiture in the event that the shares available pursuant to the Issuer's 2020 Incentive Award Plan are not increased prior to the one-year anniversary and vesting of the award by an amount required to be available for issuance for all outstanding stock awards containing this forfeiture condition.
F3: Effective June 2, 2022, the Issuer effected a 1-for-20 reverse stock split of the Company's issued and outstanding common stock, par value $0.0001 per share.
F4: On March 10, 2023, the Issuer and the Reporting Person agreed to cancel the stock option award.
F5: 1/4 of the shares subject to the option vested one year after the date of grant, on 5/27/2021, and the remaining 1/36 of the shares vest on a monthly basis thereafter.
F6: 1/4 of the shares subject to the option vested one year after the date of grant, on 1/13/2022, and the remaining 1/36 of the shares vest on a monthly basis thereafter.
F7: 1/4 of the shares subject to the option vested one year after the date of grant, on 2/17/2023, and the remaining 1/36 of the shares vest on a monthly basis thereafter.
Pfenex Inc.
Report date February 01, 2019 · Filed February 04, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.90 · Expires 2029-02-01 | Direct | 59,000 |
Reported balance
After 2019-02-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-02-01 · Grant · Acquired 59,000 · Balance 59,000 F1: Twenty five percent (25%) of the shares subject to the Option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date, subject to the reporting person continuing to be a Service Provider (as such term is defined in the Issuer's 2014 Equity Incentive Plan) through each such date. "Vesting Commencement Date" shall mean February 1, 2019. |
Filing footnotes · ownership attribution and instrument terms
F1: Twenty five percent (25%) of the shares subject to the Option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date, subject to the reporting person continuing to be a Service Provider (as such term is defined in the Issuer's 2014 Equity Incentive Plan) through each such date. "Vesting Commencement Date" shall mean February 1, 2019.
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 10, 2023 Filed Mar 14, 2023 16:33 UTC | Histogen Inc. HSTO · Entity 112047 | Disposition to issuerStock Option (right to buy) · Derivative | 8,490 | $0.00 Strike: $4.80 | $0.00 |
DisclosureSEC source: 0001209191-23-018477 · doc4.xml · derivative · entry 5 Knudson Susan A. · CIK 0001624925 · COO and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,490 shares Expires 2032-02-17 F3 · derivative.exercise_price: Effective June 2, 2022, the Issuer effected a 1-for-20 reverse stock split of the Company's issued and outstanding common stock, par value $0.0001 per share. F4 · kind: On March 10, 2023, the Issuer and the Reporting Person agreed to cancel the stock option award. F3 · shares: Effective June 2, 2022, the Issuer effected a 1-for-20 reverse stock split of the Company's issued and outstanding common stock, par value $0.0001 per share. F7 · derivative.exercise_date: 1/4 of the shares subject to the option vested one year after the date of grant, on 2/17/2023, and the remaining 1/36 of the shares vest on a monthly basis thereafter. Read SEC document |
| March 10, 2023 Filed Mar 14, 2023 16:33 UTC | Histogen Inc. HSTO · Entity 112047 | Disposition to issuerStock Option (right to buy) · Derivative | 5,600 | $0.00 Strike: $19.40 | $0.00 |
DisclosureSEC source: 0001209191-23-018477 · doc4.xml · derivative · entry 4 Knudson Susan A. · CIK 0001624925 · COO and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,600 shares Expires 2031-01-13 F3 · derivative.exercise_price: Effective June 2, 2022, the Issuer effected a 1-for-20 reverse stock split of the Company's issued and outstanding common stock, par value $0.0001 per share. F4 · kind: On March 10, 2023, the Issuer and the Reporting Person agreed to cancel the stock option award. F3 · shares: Effective June 2, 2022, the Issuer effected a 1-for-20 reverse stock split of the Company's issued and outstanding common stock, par value $0.0001 per share. F6 · derivative.exercise_date: 1/4 of the shares subject to the option vested one year after the date of grant, on 1/13/2022, and the remaining 1/36 of the shares vest on a monthly basis thereafter. Read SEC document |
| March 10, 2023 Filed Mar 14, 2023 16:33 UTC | Histogen Inc. HSTO · Entity 112047 | Disposition to issuerStock Option (right to buy) · Derivative | 6,206 | $0.00 Strike: $92.20 | $0.00 |
DisclosureSEC source: 0001209191-23-018477 · doc4.xml · derivative · entry 3 Knudson Susan A. · CIK 0001624925 · COO and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,206 shares Expires 2030-05-27 F3 · derivative.exercise_price: Effective June 2, 2022, the Issuer effected a 1-for-20 reverse stock split of the Company's issued and outstanding common stock, par value $0.0001 per share. F4 · kind: On March 10, 2023, the Issuer and the Reporting Person agreed to cancel the stock option award. F3 · shares: Effective June 2, 2022, the Issuer effected a 1-for-20 reverse stock split of the Company's issued and outstanding common stock, par value $0.0001 per share. F5 · derivative.exercise_date: 1/4 of the shares subject to the option vested one year after the date of grant, on 5/27/2021, and the remaining 1/36 of the shares vest on a monthly basis thereafter. Read SEC document |
| March 10, 2023 Filed Mar 14, 2023 16:33 UTC | Histogen Inc. HSTO · Entity 112047 | GrantStock Option (right to buy) · Derivative | 27,766 | $0.00 Strike: $0.95 | $0.00 |
DisclosureSEC source: 0001209191-23-018477 · doc4.xml · derivative · entry 2 Knudson Susan A. · CIK 0001624925 · COO and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,766 Underlying: Common Stock · 27,766 shares Expires 2033-03-10 F1 · derivative.exercise_date: 1/4 of the shares subject to the option vest one year after the date of grant, on 3/10/2024, and the remaining 1/36 of the shares vest on a monthly basis thereafter. F2 · derivative.exercise_date: The shares subject to this option are subject to forfeiture in the event that the shares available pursuant to the Issuer's 2020 Incentive Award Plan are not increased prior to the one-year anniversary and vesting of the award by an amount required to be available for issuance for all outstanding stock awards containing this forfeiture condition. Read SEC document |
| March 10, 2023 Filed Mar 14, 2023 16:33 UTC | Histogen Inc. HSTO · Entity 112047 | GrantStock Option (right to buy) · Derivative | 79,027 | $0.00 Strike: $0.95 | $0.00 |
DisclosureSEC source: 0001209191-23-018477 · doc4.xml · derivative · entry 1 Knudson Susan A. · CIK 0001624925 · COO and CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,027 Underlying: Common Stock · 79,027 shares Expires 2033-03-10 F1 · derivative.exercise_date: 1/4 of the shares subject to the option vest one year after the date of grant, on 3/10/2024, and the remaining 1/36 of the shares vest on a monthly basis thereafter. Read SEC document |
| November 07, 2022 Filed Nov 9, 2022 16:30 UTC | Histogen Inc. HSTO · Entity 112047 | Disposition to issuerRestricted Stock Units · Derivative | 6,858 | $250.00 | $1,714,500.00 |
DisclosureSEC source: 0001209191-22-056215 · doc4.xml · derivative · entry 1 Knudson Susan A. · CIK 0001624925 · EVP, CFO & Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,858 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F2 · kind: On November 7, 2022, the Issuer and the Reporting Person agreed to cancel the restricted stock unit award prior to the vesting of such award in exchange for cash. F3 · shares: Effective June 2, 2022, the Issuer effected a 1-for-20 reverse stock split of the Company's issued and outstanding common stock, par value $0.0001 per share. F4 · derivative.exercise_date: The restricted stock unit award was cancelled as of November 7, 2022 prior to any vesting or exercisability thereof. F4 · derivative.expiration_date: The restricted stock unit award was cancelled as of November 7, 2022 prior to any vesting or exercisability thereof. F3 · derivative.underlying_shares: Effective June 2, 2022, the Issuer effected a 1-for-20 reverse stock split of the Company's issued and outstanding common stock, par value $0.0001 per share. Read SEC document |
| February 17, 2022 Filed Feb 22, 2022 18:19 UTC | Histogen Inc. HSTO · Entity 112047 | GrantStock Option (right to buy) · Derivative | 169,800 | $0.00 Strike: $0.24 | $0.00 |
DisclosureSEC source: 0001209191-22-011914 · doc4.xml · derivative · entry 1 Knudson Susan A. · CIK 0001624925 · EVP, CFO & Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,800 Underlying: Common Stock · 169,800 shares Expires 2032-02-17 F1 · derivative.exercise_date: 1/4 of the shares subject to the option vest one year after the date of grant, on 2/17/2023, and the remaining 1/36 of the shares vest on a monthly basis thereafter. Read SEC document |
| November 08, 2021 Filed Nov 10, 2021 16:46 UTC | Histogen Inc. HSTO · Entity 112047 | GrantRestricted Stock Unit · Derivative | 137,174 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-063873 · doc4.xml · derivative · entry 1 Knudson Susan A. · CIK 0001624925 · EVP, CFO & Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,174 Underlying: Common Stock · 137,174 shares Expires 2031-11-08 F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F2 · derivative.exercise_date: One hundred percent of the restricted stock units will vest upon the earlier to occur of (i) one (1) year after the grant date or (ii) a change of control of the Issuer, subject to the Reporting Person's continued service to the Issuer. Read SEC document |
| January 13, 2021 Filed Jan 15, 2021 16:12 UTC | Histogen Inc. HSTO · Entity 112047 | GrantStock Option (right to buy) · Derivative | 112,000 | $0.00 Strike: $0.97 | $0.00 |
DisclosureSEC source: 0001209191-21-003750 · doc4.xml · derivative · entry 1 Knudson Susan A. · CIK 0001624925 · EVP, CFO & Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,000 Underlying: Common Stock · 112,000 shares Expires 2031-01-13 F1 · derivative.exercise_date: 1/4 of the shares subject to the option vest one year after the date of grant, on 1/13/2022, and the remaining 1/36 of the shares vest on a monthly basis thereafter. Read SEC document |
| May 28, 2020 Filed May 29, 2020 16:10 UTC | Histogen Inc. HSTO · Entity 112047 | GrantStock Option (right to buy) · Derivative | 124,119 | $0.00 Strike: $4.61 | $0.00 |
DisclosureSEC source: 0000899243-20-014546 · doc4.xml · derivative · entry 1 Knudson Susan A. · CIK 0001624925 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,119 Underlying: Common Stock · 124,119 shares Expires 2030-05-28 F1 · derivative.exercise_date: 1/4 of the shares subject to the option vest one year after the date of grant, on 05/28/2021, and the remaining 1/36 of the shares vest on a monthly basis thereafter. Read SEC document |
| February 01, 2019 Filed Feb 4, 2019 17:44 UTC | Pfenex Inc. PFNX · Entity 146052 | GrantStock Option (right to buy) · Derivative | 59,000 | $0.00 Strike: $3.90 | $0.00 |
DisclosureSEC source: 0000899243-19-002489 · doc4.xml · derivative · entry 1 Knudson Susan A. · CIK 0001624925 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,000 Underlying: Common Stock · 59,000 shares Expires 2029-02-01 F1 · derivative.exercise_date: Twenty five percent (25%) of the shares subject to the Option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date, subject to the reporting person continuing to be a Service Provider (as such term is defined in the Issuer's 2014 Equity Incentive Plan) through each such date. "Vesting Commencement Date" shall mean February 1, 2019. Read SEC document |
| March 01, 2018 Filed Mar 1, 2018 19:32 UTC | Pfenex Inc. PFNX · Entity 146052 | GrantStock Option (right to buy) · Derivative | 143,500 | $0.00 Strike: $3.83 | $0.00 |
DisclosureSEC source: 0000899243-18-005994 · doc4.xml · derivative · entry 1 Knudson Susan A. · CIK 0001624925 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 143,500 Underlying: Common Stock · 143,500 shares Expires 2028-03-01 F1 · derivative.exercise_date: Twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on the one year anniversary of the Vesting Commencement Date and one forty-eighth (1/48th) of the total number of shares subject to the Option shall vest every month thereafter such that all shares shall be fully vested on the four (4) year anniversary of the Vesting Commencement Date, subject to the reporting person continuing to be a Service Provider (as such term is defined in the Issuer's 2014 Equity Incentive Plan) through each such date. "Vesting Commencement Date" shall mean February 1, 2018. Read SEC document |
| June 22, 2017 Filed Jun 23, 2017 20:05 UTC | Evofem Biosciences, Inc. NEOT · Entity 8607 | GrantEmployee Stock Option (Right to Buy) · Derivative | 65,000 | $0.00 Strike: $2.27 | $0.00 |
DisclosureSEC source: 0001209191-17-041633 · doc4.xml · derivative · entry 1 Knudson Susan A. · CIK 0001624925 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,000 Underlying: Common Stock · 65,000 shares Expires 2027-06-22 F1 · derivative.exercise_date: Option shares vest and become exercisable in twenty-four (24) successive equal monthly installments measured from June 22, 2017. Read SEC document |
| March 02, 2017 Filed Mar 6, 2017 20:47 UTC | Evofem Biosciences, Inc. NEOT · Entity 8607 | GrantStock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $1.43 | $0.00 |
DisclosureSEC source: 0001618835-17-000001 · primary_doc.xml · derivative · entry 1 Knudson Susan A. · CIK 0001624925 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2027-03-02 F1 · derivative.exercise_date: (i) One half of the option shares vest upon receipt and completed analysis of LIPO-202 CL-31 trial data and (ii) the remaining one half of the option shares vest at the earlier of (a) 12/31/2017 or (b) upon the event of a change in control. 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.