Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| KalVista Pharmaceuticals, Inc.KALV · Entity 39180 | Director | October 03, 2018 | October 05, 2018 |
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.
KalVista Pharmaceuticals, Inc.
Report date October 03, 2018 · Filed October 05, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $22.65 · Expires 2028-10-02 | Direct | 7,000 |
Reported balance
After 2018-10-03 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-10-03 · Grant · Acquired 7,000 · Balance 7,000 F1: The option vests over a 12 month period: 1/12th on November 3, 2018, after which 1/12th of the total shares vest monthly, subject to continued service through each vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests over a 12 month period: 1/12th on November 3, 2018, after which 1/12th of the total shares vest monthly, subject to continued service through each vesting date.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
CONCERT PHARMACEUTICALS, INC.
Report date March 06, 2023 · Filed March 06, 2023
Section 16 reporting ended · disclosed 2023-03-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-03-06 transaction · row 1
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 1 · 2023-03-06 · Other · Disposed 342,100 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 19, 2023, by and among Concert Pharmaceuticals, Inc. (the "Issuer"), Sun Pharmaceutical Industries Ltd. ("Parent") and Foliage Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, effective as of March 6, 2023 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive $8.00 in cash (the "Cash Amount"), plus one non-tradeable contingent value right (a "CVR," and together with the Cash Amount, the "Per Share Consideration"), which represents the right to receive contingent payments of up to $3.50 per Share, in cash, (continued in Footnote 2) F2: in the aggregate, upon the achievement of certain milestones (such applicable payment, each, a "Milestone Payment") prior to December 31, 2029, subject to any applicable withholding of taxes and without interest. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-03-06 transaction · row 2
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 2 · 2023-03-06 · Disposition to issuer · Disposed 16,400 · Balance 0 F3: This line item represents unvested time-based restricted stock units with respect to the Issuer's common stock ("RSUs") held by the Reporting Person. Pursuant to the terms of the Merger Agreement, at the Effective Time, each unvested RSU that was outstanding immediately prior to the Effective Time was cancelled and converted into the right to receive, for each Share underlying such RSU, the Per Share Consideration, subject to withholding of applicable taxes and without interest. |
| Common StockSEC Table I · non-derivative | IndirectBy Richard H. Aldrich 2018 Revocable Trust | 0 |
Reported balance
After 2023-03-06 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2023-03-06 · Other · Disposed 210,526 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 19, 2023, by and among Concert Pharmaceuticals, Inc. (the "Issuer"), Sun Pharmaceutical Industries Ltd. ("Parent") and Foliage Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, effective as of March 6, 2023 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive $8.00 in cash (the "Cash Amount"), plus one non-tradeable contingent value right (a "CVR," and together with the Cash Amount, the "Per Share Consideration"), which represents the right to receive contingent payments of up to $3.50 per Share, in cash, (continued in Footnote 2) F2: in the aggregate, upon the achievement of certain milestones (such applicable payment, each, a "Milestone Payment") prior to December 31, 2029, subject to any applicable withholding of taxes and without interest. F4: Shares held by the Richard H. Aldrich 2018 Revocable Trust. Mr. Aldrich is the sole trustee of the Richard H. Aldrich 2018 Revocable Trust. Mr. Aldrich disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Little Eagles, LLC | 0 |
Reported balance
After 2023-03-06 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2023-03-06 · Other · Disposed 44,351 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 19, 2023, by and among Concert Pharmaceuticals, Inc. (the "Issuer"), Sun Pharmaceutical Industries Ltd. ("Parent") and Foliage Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, effective as of March 6, 2023 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive $8.00 in cash (the "Cash Amount"), plus one non-tradeable contingent value right (a "CVR," and together with the Cash Amount, the "Per Share Consideration"), which represents the right to receive contingent payments of up to $3.50 per Share, in cash, (continued in Footnote 2) F2: in the aggregate, upon the achievement of certain milestones (such applicable payment, each, a "Milestone Payment") prior to December 31, 2029, subject to any applicable withholding of taxes and without interest. F5: Shares held by Little Eagles, LLC. The owners of Little Eagles, LLC are the Richard H. Aldrich Irrevocable Trust of 2011 and trusts established for the benefit of Mr. Aldrich's minor children. The trustees of the Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's spouse, Nichole A. Aldrich, and Mr. Aldrich's brother, Caleb F. Aldrich. The beneficiaries of the Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's minor children. Mr. Aldrich disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.42 · Expires 2025-06-10 | Direct | 0 |
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 · Disposition to issuer · Disposed 10,000 · Balance 0 F6: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 7) F7: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.96 · Expires 2026-06-08 | Direct | 0 |
Reported balance
After 2023-03-06 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2023-03-06 · Disposition to issuer · Disposed 10,000 · Balance 0 F6: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 7) F7: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.29 · Expires 2027-06-14 | Direct | 0 |
Reported balance
After 2023-03-06 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2023-03-06 · Disposition to issuer · Disposed 10,000 · Balance 0 F6: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 7) F7: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $19.59 · Expires 2028-06-13 | Direct | 0 |
Reported balance
After 2023-03-06 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2023-03-06 · Disposition to issuer · Disposed 15,940 · Balance 0 F6: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 7) F7: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.02 · Expires 2029-06-12 | Direct | 0 |
Reported balance
After 2023-03-06 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2023-03-06 · Disposition to issuer · Disposed 10,000 · Balance 0 F6: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 7) F7: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.16 · Expires 2030-06-10 | Direct | 0 |
Reported balance
After 2023-03-06 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2023-03-06 · Disposition to issuer · Disposed 23,260 · Balance 0 F6: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 7) F7: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.26 · Expires 2031-06-09 | Direct | 0 |
Reported balance
After 2023-03-06 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2023-03-06 · Disposition to issuer · Disposed 40,432 · Balance 0 F6: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 7) F7: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.00 · Expires 2032-06-08 | Direct | 0 |
Reported balance
After 2023-03-06 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2023-03-06 · Disposition to issuer · Disposed 22,410 · Balance 0 F6: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 7) F7: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 19, 2023, by and among Concert Pharmaceuticals, Inc. (the "Issuer"), Sun Pharmaceutical Industries Ltd. ("Parent") and Foliage Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, effective as of March 6, 2023 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive $8.00 in cash (the "Cash Amount"), plus one non-tradeable contingent value right (a "CVR," and together with the Cash Amount, the "Per Share Consideration"), which represents the right to receive contingent payments of up to $3.50 per Share, in cash, (continued in Footnote 2)
F2: in the aggregate, upon the achievement of certain milestones (such applicable payment, each, a "Milestone Payment") prior to December 31, 2029, subject to any applicable withholding of taxes and without interest.
F3: This line item represents unvested time-based restricted stock units with respect to the Issuer's common stock ("RSUs") held by the Reporting Person. Pursuant to the terms of the Merger Agreement, at the Effective Time, each unvested RSU that was outstanding immediately prior to the Effective Time was cancelled and converted into the right to receive, for each Share underlying such RSU, the Per Share Consideration, subject to withholding of applicable taxes and without interest.
F4: Shares held by the Richard H. Aldrich 2018 Revocable Trust. Mr. Aldrich is the sole trustee of the Richard H. Aldrich 2018 Revocable Trust. Mr. Aldrich disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.
F5: Shares held by Little Eagles, LLC. The owners of Little Eagles, LLC are the Richard H. Aldrich Irrevocable Trust of 2011 and trusts established for the benefit of Mr. Aldrich's minor children. The trustees of the Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's spouse, Nichole A. Aldrich, and Mr. Aldrich's brother, Caleb F. Aldrich. The beneficiaries of the Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's minor children. Mr. Aldrich disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.
F6: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 7)
F7: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.
Tempest Therapeutics, Inc.
Report date December 07, 2018 · Filed December 11, 2018
Section 16 reporting ended · disclosed 2018-12-11. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 6,169 |
Reported balance
After 2018-12-07 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2018-12-07 · Grant · Acquired 755 · Balance 6,169 F1: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of $10,625 of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan. F2: Reflects the reverse stock split of Millendo common stock, effective as of December 7, 2018. |
| Common StockSEC Table I · non-derivative | IndirectBy Little Eagles, LLC | 22,000 |
Reported balance
Holding disclosure · report date 2018-12-07 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 22,000 F2: Reflects the reverse stock split of Millendo common stock, effective as of December 7, 2018. F3: The owners of Little Eagles, LLC are Richard H. Aldrich Irrevocable Trust of 2011 and trusts established for the benefit of Mr. Aldrich's minor children. The trustees of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's spouse, Nichole A. Aldrich, and Mr. Aldrich's brother, Caleb F. Aldrich. The beneficiaries of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's minor children. Mr. Aldrich disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Richard H. Aldrich 2005 Revocable Trust | 44,546 |
Reported balance
Holding disclosure · report date 2018-12-07 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 44,546 F2: Reflects the reverse stock split of Millendo common stock, effective as of December 7, 2018. F4: The trustee of the Richard H. Aldrich 2005 Revocable Trust is the Reporting Person and he exercises sole voting and investment power over the shares of record held by the trust. |
| Common StockSEC Table I · non-derivative | IndirectBy Longwood Fund III LP | 64,137 |
Reported balance
Holding disclosure · report date 2018-12-07 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 64,137 F2: Reflects the reverse stock split of Millendo common stock, effective as of December 7, 2018. F5: The securities in this line are held directly by Longwood Fund III LP. Longwood Fund III GP, LLC is the general partner of Longwood Fund III LP. Voting and investment power with respect to the shares held by Longwood Fund III LP are vested in Richard Aldrich and Christoph Westphal, M.D., Ph.D. (collectively, the "Managers"), the managers of Longwood Fund III GP, LLC. Each of the Managers disclaims beneficial ownership of the shares held by Longwood Fund III LP, except to the extent of their respective pecuniary interest therein, and the inclusion of these shares in the report shall not be deemed an admission of beneficial ownership of the shares for the purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of $10,625 of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan.
F2: Reflects the reverse stock split of Millendo common stock, effective as of December 7, 2018.
F3: The owners of Little Eagles, LLC are Richard H. Aldrich Irrevocable Trust of 2011 and trusts established for the benefit of Mr. Aldrich's minor children. The trustees of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's spouse, Nichole A. Aldrich, and Mr. Aldrich's brother, Caleb F. Aldrich. The beneficiaries of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's minor children. Mr. Aldrich disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.
F4: The trustee of the Richard H. Aldrich 2005 Revocable Trust is the Reporting Person and he exercises sole voting and investment power over the shares of record held by the trust.
F5: The securities in this line are held directly by Longwood Fund III LP. Longwood Fund III GP, LLC is the general partner of Longwood Fund III LP. Voting and investment power with respect to the shares held by Longwood Fund III LP are vested in Richard Aldrich and Christoph Westphal, M.D., Ph.D. (collectively, the "Managers"), the managers of Longwood Fund III GP, LLC. Each of the Managers disclaims beneficial ownership of the shares held by Longwood Fund III LP, except to the extent of their respective pecuniary interest therein, and the inclusion of these shares in the report shall not be deemed an admission of beneficial ownership of the shares for the purposes of Section 16 or for any other purpose.
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 |
|---|---|---|---|---|---|---|
| January 17, 2018 Filed Jan 19, 2018 16:34 UTC | CONCERT PHARMACEUTICALS, INC. CNCE · Entity 115906 | SaleCommon Stock | 5,000 | $18.95 | $94,750.00 |
DisclosureSEC source: 0001209191-18-004565 · doc4.xml · nonDerivative · entry 1 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 51,946 F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the holder on December 13, 2017. F2 · price: The range of prices for the transaction reported on this line was $18.77 to $19.07. The average weighted price was $18.95. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. F3 · ownership.nature: Shares held by Little Bear Associates, Inc., formerly known as RA Capital Associates, Inc. Mr. Aldrich is the sole stockholder of Little Bear Associates, Inc. Read SEC document |
| January 16, 2018 Filed Jan 18, 2018 16:26 UTC | CONCERT PHARMACEUTICALS, INC. CNCE · Entity 115906 | Exercise / conversionNon-Qualified Stock Option (Right to Buy) · Derivative | 5,309 | $0.00 Strike: $2.88 | $0.00 |
DisclosureSEC source: 0001209191-18-004255 · doc4.xml · derivative · entry 11 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,309 shares Expires 2022-11-12 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. F7 · kind: This exercise was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2017. F8 · derivative.exercise_date: This option is fully vested. Read SEC document |
| January 16, 2018 Filed Jan 18, 2018 16:26 UTC | CONCERT PHARMACEUTICALS, INC. CNCE · Entity 115906 | Exercise / conversionNon-Qualified Stock Option (Right to Buy) · Derivative | 5,309 | $0.00 Strike: $3.50 | $0.00 |
DisclosureSEC source: 0001209191-18-004255 · doc4.xml · derivative · entry 10 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,309 shares Expires 2021-11-01 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. F7 · kind: This exercise was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2017. F8 · derivative.exercise_date: This option is fully vested. Read SEC document |
| January 16, 2018 Filed Jan 18, 2018 16:26 UTC | CONCERT PHARMACEUTICALS, INC. CNCE · Entity 115906 | Exercise / conversionNon-Qualified Stock Option (Right to Buy) · Derivative | 5,309 | $0.00 Strike: $3.79 | $0.00 |
DisclosureSEC source: 0001209191-18-004255 · doc4.xml · derivative · entry 9 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,309 shares Expires 2020-12-03 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. F7 · kind: This exercise was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2017. F8 · derivative.exercise_date: This option is fully vested. Read SEC document |
| January 16, 2018 Filed Jan 18, 2018 16:26 UTC | CONCERT PHARMACEUTICALS, INC. CNCE · Entity 115906 | Exercise / conversionNon-Qualified Stock Option (Right to Buy) · Derivative | 5,309 | $0.00 Strike: $4.41 | $0.00 |
DisclosureSEC source: 0001209191-18-004255 · doc4.xml · derivative · entry 8 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,309 shares Expires 2019-12-10 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. F7 · kind: This exercise was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2017. F8 · derivative.exercise_date: This option is fully vested. Read SEC document |
| January 16, 2018 Filed Jan 18, 2018 16:26 UTC | CONCERT PHARMACEUTICALS, INC. CNCE · Entity 115906 | SaleCommon Stock | 5,000 | $19.26 | $96,300.00 |
DisclosureSEC source: 0001209191-18-004255 · doc4.xml · nonDerivative · entry 7 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 77,405 F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the holder on December 13, 2017. F5 · price: The range of prices for the transaction reported on this line was $19.00 to $19.42. The average weighted price was $19.26. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. F6 · ownership.nature: Shares held by Little Eagles, LLC. The owners of Little Eagles, LLC are Richard H. Aldrich Irrevocable Trust of 2011 and trusts established for the benefit of Mr. Aldrich's minor children. The trustees of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's spouse, Nichole A. Aldrich, and Mr. Aldrich's brother, Caleb F. Aldrich. The beneficiaries of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's minor children. Mr. Aldrich disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein. Read SEC document |
| January 16, 2018 Filed Jan 18, 2018 16:26 UTC | CONCERT PHARMACEUTICALS, INC. CNCE · Entity 115906 | SaleCommon Stock | 5,000 | $19.27 | $96,350.00 |
DisclosureSEC source: 0001209191-18-004255 · doc4.xml · nonDerivative · entry 6 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 56,946 F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the holder on December 13, 2017. F3 · price: The range of prices for the transaction reported on this line was $19.00 to $19.42. The average weighted price was $19.27. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. F4 · ownership.nature: Shares held by Little Bear Associates, Inc., formerly known as RA Capital Associates, Inc. Mr. Aldrich is the sole stockholder of Little Bear Associates, Inc. Read SEC document |
| January 16, 2018 Filed Jan 18, 2018 16:26 UTC | CONCERT PHARMACEUTICALS, INC. CNCE · Entity 115906 | SaleCommon Stock | 21,236 | $19.08 | $405,182.88 |
DisclosureSEC source: 0001209191-18-004255 · doc4.xml · nonDerivative · entry 5 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 286,975 F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the holder on December 13, 2017. F2 · price: The range of prices for the transaction reported on this line was $18.91 to $19.70. The average weighted price was $19.08. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| January 16, 2018 Filed Jan 18, 2018 16:26 UTC | CONCERT PHARMACEUTICALS, INC. CNCE · Entity 115906 | Exercise / conversionCommon Stock | 5,309 | $2.88 | $15,289.92 |
DisclosureSEC source: 0001209191-18-004255 · doc4.xml · nonDerivative · entry 4 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 308,211 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 |
| January 16, 2018 Filed Jan 18, 2018 16:26 UTC | CONCERT PHARMACEUTICALS, INC. CNCE · Entity 115906 | Exercise / conversionCommon Stock | 5,309 | $3.50 | $18,581.50 |
DisclosureSEC source: 0001209191-18-004255 · doc4.xml · nonDerivative · entry 3 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 302,902 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 |
| January 16, 2018 Filed Jan 18, 2018 16:26 UTC | CONCERT PHARMACEUTICALS, INC. CNCE · Entity 115906 | Exercise / conversionCommon Stock | 5,309 | $3.79 | $20,121.11 |
DisclosureSEC source: 0001209191-18-004255 · doc4.xml · nonDerivative · entry 2 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 297,593 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 |
| January 16, 2018 Filed Jan 18, 2018 16:26 UTC | CONCERT PHARMACEUTICALS, INC. CNCE · Entity 115906 | Exercise / conversionCommon Stock | 5,309 | $4.41 | $23,412.69 |
DisclosureSEC source: 0001209191-18-004255 · doc4.xml · nonDerivative · entry 1 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 292,284 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 |
| December 29, 2017 Filed Jan 3, 2018 20:34 UTC | Tempest Therapeutics, Inc. OVAS · Entity 7734 | GrantCommon Stock | 7,589 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-18-000448 · edgar.xml · nonDerivative · entry 1 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,852 F1 · kind: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of $10,625 of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan. F1 · price: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of $10,625 of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan. Read SEC document |
| October 12, 2017 Filed Oct 19, 2017 20:29 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | PurchaseCommon Stock | 565,065 | $8.61 | $4,866,961.35 |
DisclosureSEC source: 0000899243-17-024530 · doc4.xml · nonDerivative · entry 1 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 934,484 F1 · ownership.nature: The reportable securities are owned directly by Longwood Fund II, LP, a Delaware limited partnership ("Longwood II"). Longwood Fund II GP, LLC, a Delaware limited liability company ("Longwood II GP"), is the general partner of Longwood II and exercises voting and investment power with respect to the securities owned directly by Longwood II. Longwood II's investment adviser is Longwood Fund Management, LLC ("Longwood Management"). Each of the Reporting Person, who is a member of the Issuer's board of directors, and Christoph Westphal, M.D., Ph.D. ("Westphal") are the Managers (and are members) of Longwood II GP and may be deemed to share voting and investment power with respect to the securities owned by Longwood II. F2 · ownership.nature: (Continue from footnote 1) Each of the Reporting Person, Westphal, Longwood II GP and Longwood Management disclaims beneficial ownership of the shares held by Longwood II and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. Read SEC document |
| September 29, 2017 Filed Oct 3, 2017 19:46 UTC | Tempest Therapeutics, Inc. OVAS · Entity 7734 | GrantCommon Stock | 7,482 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-013052 · edgar.xml · nonDerivative · entry 1 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,263 F1 · kind: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan. Read SEC document |
| September 27, 2017 Filed Sep 29, 2017 19:13 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | GrantDirector Stock Option (Right to Buy) · Derivative | 6,000 | $0.00 Strike: $6.71 | $0.00 |
DisclosureSEC source: 0001140361-17-037012 · doc1.xml · derivative · entry 1 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires 2027-09-26 F1 · derivative.exercise_date: The option vests over a 12 month period: 1/12th on October 27, 2017, after which 1/12th of the total shares vest monthly, subject to continued service through each vesting date. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 19:11 UTC | Tempest Therapeutics, Inc. OVAS · Entity 7734 | GrantCommon Stock | 6,810 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-010098 · edgar.xml · nonDerivative · entry 1 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,781 F1 · kind: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan. Read SEC document |
| June 21, 2017 Filed Jun 23, 2017 20:57 UTC | Tempest Therapeutics, Inc. OVAS · Entity 7734 | GrantStock Option (right to buy) · Derivative | 12,000 | $0.00 Strike: $1.46 | $0.00 |
DisclosureSEC source: 0001179110-17-009556 · edgar.xml · derivative · entry 1 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 12,000 shares Expires 2027-06-21 F1 · derivative.exercise_date: The stock option will vest in twelve equal monthly installments at the end of each successive month following June 21, 2017. Read SEC document |
| June 15, 2017 Filed Jun 19, 2017 07:34 UTC | CONCERT PHARMACEUTICALS, INC. CNCE · Entity 115906 | GrantNonstatutory Stock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $13.29 | $0.00 |
DisclosureSEC source: 0001209191-17-040709 · doc4.xml · derivative · entry 1 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2027-06-14 F1 · derivative.exercise_date: The shares underlying this option vest in equal quarterly installments over a one-year period, through and including June 15, 2018. Read SEC document |
| March 31, 2017 Filed Apr 4, 2017 21:02 UTC | Tempest Therapeutics, Inc. OVAS · Entity 7734 | GrantCommon Stock | 5,681 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-005742 · edgar.xml · nonDerivative · entry 1 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,971 F1 · kind: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan. Read SEC document |
| March 23, 2017 Filed Mar 27, 2017 19:04 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | GrantDirector Stock Option (Right to Buy) · Derivative | 12,000 | $0.00 Strike: $7.88 | $0.00 |
DisclosureSEC source: 0001140361-17-013496 · doc1.xml · derivative · entry 1 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 12,000 shares Expires 2027-03-22 F1 · derivative.exercise_date: The option vests over a 3 year period: 1/36th on December 21, 2016 after which 1/36th of the total shares vest monthly, subject to continued service through each vesting date. Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 20:29 UTC | Tempest Therapeutics, Inc. OVAS · Entity 7734 | GrantCommon Stock | 6,944 | $1.53 | $10,624.32 |
DisclosureSEC source: 0001179110-17-000417 · edgar.xml · nonDerivative · entry 1 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,290 F1 · date: None of the transfers reported on this Form 4 constitutes a sale of the reported securities. F2 · kind: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan. Read SEC document |
| December 22, 2016 Filed Jan 4, 2017 20:29 UTC | Tempest Therapeutics, Inc. OVAS · Entity 7734 | GiftCommon Stock | 154,519 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-000417 · edgar.xml · nonDerivative · entry 3 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,346 F1 · date: None of the transfers reported on this Form 4 constitutes a sale of the reported securities. Read SEC document |
| December 22, 2016 Filed Jan 4, 2017 20:29 UTC | Tempest Therapeutics, Inc. OVAS · Entity 7734 | GiftCommon Stock | 154,519 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-000417 · edgar.xml · nonDerivative · entry 2 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Little Eagles, LLC Disclosed balance after: 330,000 F1 · date: None of the transfers reported on this Form 4 constitutes a sale of the reported securities. F3 · ownership.nature: Shares held by Little Eagles, LLC. The owners of Little Eagles, LLC are Richard H. Aldrich Irrevocable Trust of 2011 and trusts established for the benefit of the Mr. Aldrich's minor children. The trustees of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's spouse, Nichole A. Aldrich, and Mr. Aldrich's brother, Caleb F. Aldrich. The beneficiaries of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's minor children. Mr. Aldrich disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein. Read SEC document |
| December 13, 2016 Filed Jan 4, 2017 20:29 UTC | Tempest Therapeutics, Inc. OVAS · Entity 7734 | GiftCommon Stock | 645,842 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-000417 · edgar.xml · nonDerivative · entry 5 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,865 F1 · date: None of the transfers reported on this Form 4 constitutes a sale of the reported securities. Read SEC document |
| December 13, 2016 Filed Jan 4, 2017 20:29 UTC | Tempest Therapeutics, Inc. OVAS · Entity 7734 | GiftCommon Stock | 645,842 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-000417 · edgar.xml · nonDerivative · entry 4 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Richard H. Aldrich 2005 Revocable Trust Disclosed balance after: 668,192 F1 · date: None of the transfers reported on this Form 4 constitutes a sale of the reported securities. F4 · ownership.nature: The trustee of the Richard H. Aldrich 2005 Revocable Trust is the Reporting Person and he exercises sole voting and investment power over the shares of record held by the trust. Read SEC document |
| December 07, 2016 Filed Jan 4, 2017 20:29 UTC | Tempest Therapeutics, Inc. OVAS · Entity 7734 | GiftCommon Stock | 200,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-000417 · edgar.xml · nonDerivative · entry 7 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Richard H. Aldrich 2015 GRAT Disclosed balance after: 0 F1 · date: None of the transfers reported on this Form 4 constitutes a sale of the reported securities. Read SEC document |
| December 07, 2016 Filed Jan 4, 2017 20:29 UTC | Tempest Therapeutics, Inc. OVAS · Entity 7734 | GiftCommon Stock | 200,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-000417 · edgar.xml · nonDerivative · entry 6 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 807,707 F1 · date: None of the transfers reported on this Form 4 constitutes a sale of the reported securities. Read SEC document |
| November 21, 2016 Filed Nov 29, 2016 19:48 UTC | KalVista Pharmaceuticals, Inc. KALV · Entity 39180 | GrantCommon Stock | 369,419 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-16-088107 · doc1.xml · nonDerivative · entry 1 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Longwood Fund II LP Disclosed balance after: 369,419 F1 · price: Received in exchange for 1,268,971 shares of KalVista Pharmaceuticals, Ltd. Series B Preferred Stock in connection with the closing of the share purchase transaction (the "Transaction") whereby KalVista Pharmaceuticals, Ltd. became a wholly-owned subsidiary of Carbylan Therapeutics, Inc., which changed its name to KalVista Pharmaceuticals, Inc. (the "Company"). On the effective date of the Transaction, the closing price of the Company's common stock was $9.38 per share. All numbers give effect to the 14:1 reverse stock split effected by the Company on November 21, 2016. Prior to the reverse stock split, the closing price of the Company's common stock was $0.67 per share. F2 · ownership.nature: Longwood Fund II, LP, a Delaware limited partnership. Longwood Fund II GP, LLC (the "Fund II General Partner") is the general partner of Longwood Fund II, L.P. and exercises voting and investment power with respect to securities owned directly by Longwood Fund II, L.P. Longwood Fund II, L.P. is managed by Longwood Fund Management, LLC. Mr. Aldrich is a managing member of Longwood Fund Management LLC who disclaims beneficial ownership of the shares held by Longwood Fund II, L.P. except to the extent of his pecuniary interest therein. Read SEC document |
| September 30, 2016 Filed Oct 4, 2016 17:13 UTC | Tempest Therapeutics, Inc. OVAS · Entity 7734 | GrantCommon Stock | 1,483 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-16-030320 · edgar.xml · nonDerivative · entry 1 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 607,707 F1 · kind: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan. Read SEC document |
| June 30, 2015 Filed Jan 4, 2017 20:29 UTC | Tempest Therapeutics, Inc. OVAS · Entity 7734 | GiftCommon Stock | 175,481 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-000417 · edgar.xml · nonDerivative · entry 9 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Richard H. Aldrich Irrevocable Trust of 2011 Disclosed balance after: 0 F1 · date: None of the transfers reported on this Form 4 constitutes a sale of the reported securities. F5 · ownership.nature: The trustee of the Richard H. Aldrich Irrevocable Trust of 2011 is the Reporting Person's spouse, Nichole Aldrich, and she exercises sole voting and investment power over the shares of record held by the trust. Read SEC document |
| June 30, 2015 Filed Jan 4, 2017 20:29 UTC | Tempest Therapeutics, Inc. OVAS · Entity 7734 | GiftCommon Stock | 175,481 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-000417 · edgar.xml · nonDerivative · entry 8 ALDRICH RICHARD · CIK 0001185039 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Little Eagles, LLC Disclosed balance after: 175,481 F1 · date: None of the transfers reported on this Form 4 constitutes a sale of the reported securities. F3 · ownership.nature: Shares held by Little Eagles, LLC. The owners of Little Eagles, LLC are Richard H. Aldrich Irrevocable Trust of 2011 and trusts established for the benefit of the Mr. Aldrich's minor children. The trustees of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's spouse, Nichole A. Aldrich, and Mr. Aldrich's brother, Caleb F. Aldrich. The beneficiaries of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's minor children. Mr. Aldrich disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein. 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.