Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Neurogene Inc.NLTX · Entity 5160 | Chief Financial Officer | February 01, 2022 | February 02, 2022 |
| Third Harmonic Bio, Inc.THRD · Entity 76517 | Chief Financial Officer | March 06, 2023 | March 08, 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.
Neurogene Inc.
Report date February 01, 2022 · Filed February 02, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 70,000 |
Reported balance
After 2022-02-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-02-01 · Grant · Acquired 70,000 · Balance 70,000 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration. F2: The RSUs will vest as to 1/2 of the total number of shares underlying the award on each of February 1, 2023 and February 1, 2024, subject to the Reporting Person's provision of service to the Issuer on each vesting date. F3: The RSUs do not expire; these securities either vest and settle or are canceled prior to the vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration.
F2: The RSUs will vest as to 1/2 of the total number of shares underlying the award on each of February 1, 2023 and February 1, 2024, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
F3: The RSUs do not expire; these securities either vest and settle or are canceled prior to the vesting date.
Third Harmonic Bio, Inc.
Report date March 06, 2023 · Filed March 08, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.22 · Expires 2032-03-24 | Direct | 0 |
Reported balance
After 2023-03-06 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-03-06 · Disposition to issuer · Disposed 367,955 · Balance 0 F1: The transaction reported herein reflects a one-time stock option repricing that became effective on March 6, 2023, and is being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, as amended. There have been no other changes to the terms of these Options. F2: 25% of the total shares vested on March 7, 2023, and thereafter 6.25% of the total shares underlying the award shall vest in equal quarterly installments until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.20 · Expires 2032-03-24 | Direct | 367,955 |
Reported balance
After 2023-03-06 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-03-06 · Grant · Acquired 367,955 · Balance 367,955 F1: The transaction reported herein reflects a one-time stock option repricing that became effective on March 6, 2023, and is being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, as amended. There have been no other changes to the terms of these Options. F2: 25% of the total shares vested on March 7, 2023, and thereafter 6.25% of the total shares underlying the award shall vest in equal quarterly installments until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $18.40 · Expires 2032-10-24 | Direct | 0 |
Reported balance
After 2023-03-06 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-03-06 · Disposition to issuer · Disposed 95,000 · Balance 0 F1: The transaction reported herein reflects a one-time stock option repricing that became effective on March 6, 2023, and is being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, as amended. There have been no other changes to the terms of these Options. F3: The option vests over a four-year period: 1/48th on November 25, 2022, after which 1/48th of the total shares vest monthly, subject to continued service through each vesting date. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.20 · Expires 2032-10-24 | Direct | 95,000 |
Reported balance
After 2023-03-06 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2023-03-06 · Grant · Acquired 95,000 · Balance 95,000 F1: The transaction reported herein reflects a one-time stock option repricing that became effective on March 6, 2023, and is being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, as amended. There have been no other changes to the terms of these Options. F3: The option vests over a four-year period: 1/48th on November 25, 2022, after which 1/48th of the total shares vest monthly, subject to continued service through each vesting date. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.20 · Expires 2033-03-05 | Direct | 136,000 |
Reported balance
After 2023-03-06 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2023-03-06 · Grant · Acquired 136,000 · Balance 136,000 F4: The option vests over a four-year period: 1/48th on April 6, 2023, after which 1/48th of the total shares vest monthly, subject to continued service through each vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The transaction reported herein reflects a one-time stock option repricing that became effective on March 6, 2023, and is being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, as amended. There have been no other changes to the terms of these Options.
F2: 25% of the total shares vested on March 7, 2023, and thereafter 6.25% of the total shares underlying the award shall vest in equal quarterly installments until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date.
F3: The option vests over a four-year period: 1/48th on November 25, 2022, after which 1/48th of the total shares vest monthly, subject to continued service through each vesting date.
F4: The option vests over a four-year period: 1/48th on April 6, 2023, after which 1/48th of the total shares vest monthly, subject to continued service through each vesting 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 06, 2023 Filed Mar 8, 2023 16:58 UTC | Third Harmonic Bio, Inc. THRD · Entity 76517 | GrantEmployee Stock Option (right to buy) · Derivative | 136,000 | $0.00 Strike: $4.20 | $0.00 |
DisclosureSEC source: 0001209191-23-017222 · doc4.xml · derivative · entry 5 Ho Robert · CIK 0001806254 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,000 Underlying: Common Stock · 136,000 shares Expires 2033-03-05 F4 · derivative.exercise_date: The option vests over a four-year period: 1/48th on April 6, 2023, after which 1/48th of the total shares vest monthly, subject to continued service through each vesting date. Read SEC document |
| March 06, 2023 Filed Mar 8, 2023 16:58 UTC | Third Harmonic Bio, Inc. THRD · Entity 76517 | GrantEmployee Stock Option (right to buy) · Derivative | 95,000 | Not disclosed Strike: $4.20 | Not disclosed |
DisclosureSEC source: 0001209191-23-017222 · doc4.xml · derivative · entry 4 Ho Robert · CIK 0001806254 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,000 Underlying: Common Stock · 95,000 shares Expires 2032-10-24 F1 · kind: The transaction reported herein reflects a one-time stock option repricing that became effective on March 6, 2023, and is being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, as amended. There have been no other changes to the terms of these Options. F1 · price: The transaction reported herein reflects a one-time stock option repricing that became effective on March 6, 2023, and is being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, as amended. There have been no other changes to the terms of these Options. F3 · derivative.exercise_date: The option vests over a four-year period: 1/48th on November 25, 2022, after which 1/48th of the total shares vest monthly, subject to continued service through each vesting date. Read SEC document |
| March 06, 2023 Filed Mar 8, 2023 16:58 UTC | Third Harmonic Bio, Inc. THRD · Entity 76517 | Disposition to issuerEmployee Stock Option (right to buy) · Derivative | 95,000 | Not disclosed Strike: $18.40 | Not disclosed |
DisclosureSEC source: 0001209191-23-017222 · doc4.xml · derivative · entry 3 Ho Robert · CIK 0001806254 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 95,000 shares Expires 2032-10-24 F1 · kind: The transaction reported herein reflects a one-time stock option repricing that became effective on March 6, 2023, and is being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, as amended. There have been no other changes to the terms of these Options. F1 · price: The transaction reported herein reflects a one-time stock option repricing that became effective on March 6, 2023, and is being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, as amended. There have been no other changes to the terms of these Options. F3 · derivative.exercise_date: The option vests over a four-year period: 1/48th on November 25, 2022, after which 1/48th of the total shares vest monthly, subject to continued service through each vesting date. Read SEC document |
| March 06, 2023 Filed Mar 8, 2023 16:58 UTC | Third Harmonic Bio, Inc. THRD · Entity 76517 | GrantEmployee Stock Option (right to buy) · Derivative | 367,955 | Not disclosed Strike: $4.20 | Not disclosed |
DisclosureSEC source: 0001209191-23-017222 · doc4.xml · derivative · entry 2 Ho Robert · CIK 0001806254 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 367,955 Underlying: Common Stock · 367,955 shares Expires 2032-03-24 F1 · kind: The transaction reported herein reflects a one-time stock option repricing that became effective on March 6, 2023, and is being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, as amended. There have been no other changes to the terms of these Options. F1 · price: The transaction reported herein reflects a one-time stock option repricing that became effective on March 6, 2023, and is being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, as amended. There have been no other changes to the terms of these Options. F2 · derivative.exercise_date: 25% of the total shares vested on March 7, 2023, and thereafter 6.25% of the total shares underlying the award shall vest in equal quarterly installments until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date. Read SEC document |
| March 06, 2023 Filed Mar 8, 2023 16:58 UTC | Third Harmonic Bio, Inc. THRD · Entity 76517 | Disposition to issuerEmployee Stock Option (right to buy) · Derivative | 367,955 | Not disclosed Strike: $9.22 | Not disclosed |
DisclosureSEC source: 0001209191-23-017222 · doc4.xml · derivative · entry 1 Ho Robert · CIK 0001806254 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 367,955 shares Expires 2032-03-24 F1 · kind: The transaction reported herein reflects a one-time stock option repricing that became effective on March 6, 2023, and is being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, as amended. There have been no other changes to the terms of these Options. F1 · price: The transaction reported herein reflects a one-time stock option repricing that became effective on March 6, 2023, and is being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, as amended. There have been no other changes to the terms of these Options. F2 · derivative.exercise_date: 25% of the total shares vested on March 7, 2023, and thereafter 6.25% of the total shares underlying the award shall vest in equal quarterly installments until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date. Read SEC document |
| October 25, 2022 Filed Oct 27, 2022 16:51 UTC | Third Harmonic Bio, Inc. THRD · Entity 76517 | GrantEmployee Option Grant (right to buy) · Derivative | 95,000 | $0.00 Strike: $18.40 | $0.00 |
DisclosureSEC source: 0001209191-22-054726 · doc4.xml · derivative · entry 1 Ho Robert · CIK 0001806254 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,000 Underlying: Common Stock · 95,000 shares Expires 2032-10-24 F1 · derivative.exercise_date: The option vests over a 6-month period: 1/6th on October 25, 2022, after which 1/6th of the total shares vest monthly, subject to continued service through each vesting date. Read SEC document |
| February 01, 2022 Filed Feb 2, 2022 16:36 UTC | Neurogene Inc. NLTX · Entity 5160 | GrantRestricted Stock Units · Derivative | 70,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-006391 · doc4.xml · derivative · entry 1 Ho Robert · CIK 0001806254 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 Underlying: Common Stock · 70,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration. F2 · derivative.exercise_date: The RSUs will vest as to 1/2 of the total number of shares underlying the award on each of February 1, 2023 and February 1, 2024, subject to the Reporting Person's provision of service to the Issuer on each vesting date. F3 · derivative.expiration_date: The RSUs do not expire; these securities either vest and settle or are canceled prior to the vesting date. Read SEC document |
| August 03, 2021 Filed Aug 5, 2021 16:14 UTC | Neurogene Inc. NLTX · Entity 5160 | GrantStock Option (Right to Buy) · Derivative | 190,000 | $0.00 Strike: $6.80 | $0.00 |
DisclosureSEC source: 0001209191-21-049923 · doc4.xml · derivative · entry 1 Ho Robert · CIK 0001806254 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,000 Underlying: Common Stock · 190,000 shares Expires 2031-08-03 F1 · derivative.exercise_date: The option vests as to 1/4 of the total shares on August 3, 2022, and then 1/48 of the total shares will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Read SEC document |
| March 17, 2021 Filed Mar 18, 2021 20:44 UTC | Neurogene Inc. NLTX · Entity 5160 | SaleCommon Stock | 6,497 | $11.01 | $71,556.01 |
DisclosureSEC source: 0001209191-21-021943 · doc4.xml · nonDerivative · entry 2 Ho Robert · CIK 0001806254 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,503 F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs"). These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person. Read SEC document |
| March 16, 2021 Filed Mar 18, 2021 20:44 UTC | Neurogene Inc. NLTX · Entity 5160 | Exercise / conversionRestricted Stock Units · Derivative | 25,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-021943 · doc4.xml · derivative · entry 3 Ho Robert · CIK 0001806254 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 25,000 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 RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration. F3 · derivative.exercise_date: The RSUs will vest as to 1/3 of the total number of shares underlying the award on each of March 16, 2021, March 16, 2022 and March 16, 2023, subject to the Reporting Person's provision of service to the Issuer on each vesting date. F4 · derivative.expiration_date: The RSUs do not expire; these securities either vest and settle or are canceled prior to the vesting date. Read SEC document |
| March 16, 2021 Filed Mar 18, 2021 20:44 UTC | Neurogene Inc. NLTX · Entity 5160 | Exercise / conversionCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-021943 · doc4.xml · nonDerivative · entry 1 Ho Robert · CIK 0001806254 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,000 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 |
| August 10, 2020 Filed Aug 12, 2020 16:10 UTC | Neurogene Inc. NLTX · Entity 5160 | GrantStock Option (Right to Buy) · Derivative | 90,000 | $0.00 Strike: $12.00 | $0.00 |
DisclosureSEC source: 0001209191-20-046342 · doc4.xml · derivative · entry 1 Ho Robert · CIK 0001806254 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,000 Underlying: Common Stock · 90,000 shares Expires 2030-08-10 F1 · derivative.exercise_date: The option vests as to 1/4 of the total shares on August 10, 2021, and then 1/48 of the total shares will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Read SEC document |
| March 16, 2020 Filed Mar 16, 2020 21:39 UTC | Neurogene Inc. NLTX · Entity 5160 | GrantStock Option (Right to Buy) · Derivative | 200,000 | $0.00 Strike: $6.44 | $0.00 |
DisclosureSEC source: 0001209191-20-019430 · doc4.xml · derivative · entry 2 Ho Robert · CIK 0001806254 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2030-03-16 F4 · derivative.exercise_date: The option vests as to 1/4 of the total shares on March 16, 2021, and then 1/48 of the total shares will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Read SEC document |
| March 16, 2020 Filed Mar 16, 2020 21:39 UTC | Neurogene Inc. NLTX · Entity 5160 | GrantRestricted Stock Units · Derivative | 75,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-019430 · doc4.xml · derivative · entry 1 Ho Robert · CIK 0001806254 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration. F2 · derivative.exercise_date: The RSUs will vest as to 1/3 of the total number of shares underlying the award on each of March 16, 2021, March 16, 2022 and March 16, 2023, subject to the Reporting Person's provision of service to the Issuer on each vesting date. F3 · derivative.expiration_date: The RSUs do not expire; these securities either vest and settle or are canceled prior to the vesting date. 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.