Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| NEKTAR THERAPEUTICSNKTR · Entity 4364 | Chief Financial Officer | February 16, 2023 | February 18, 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.
NEKTAR THERAPEUTICS
Report date February 16, 2023 · Filed February 18, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 313,497 |
Reported balance
After 2023-02-16 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2023-02-16 · Sale · Disposed 10,267 · Balance 313,497 F1: Represents the number of shares sold by the reporting person to cover required tax withholding obligations in connection with the vesting of the RSUs held by the reporting person and does not represent a discretionary trade by the reporting person. F2: This transaction was executed in multiple trades at prices ranging from $2.94 to $3.07. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the Issuer, or a security holder of the Issuer. F3: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 6,690 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c). |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the number of shares sold by the reporting person to cover required tax withholding obligations in connection with the vesting of the RSUs held by the reporting person and does not represent a discretionary trade by the reporting person.
F2: This transaction was executed in multiple trades at prices ranging from $2.94 to $3.07. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the Issuer, or a security holder of the Issuer.
F3: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 6,690 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).
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 |
|---|---|---|---|---|---|---|
| April 16, 2018 Filed Apr 18, 2018 22:03 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | Exercise / conversionCommon Stock | 13,881 | $10.69 | $148,387.89 |
DisclosureSEC source: 0001209191-18-025445 · doc4.xml · nonDerivative · entry 1 Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,738 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F2 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 3,703 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c). Read SEC document |
| February 16, 2018 Filed Feb 21, 2018 00:10 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | SaleCommon Stock | 2,545 | $82.94 | $211,082.30 |
DisclosureSEC source: 0001209191-18-011598 · doc4.xml · nonDerivative · entry 1 Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,857 F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is 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 does not represent a discretionary trade by the reporting person. F2 · price: This transaction was executed in multiple trades at prices ranging from $81.57 to $84.00. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. F3 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 3,703 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c). Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 23:28 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | GrantStock Option · Derivative | 26,250 | $0.00 Strike: $56.90 | $0.00 |
DisclosureSEC source: 0001209191-17-066483 · doc4.xml · derivative · entry 2 Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,250 Underlying: Common Stock · 26,250 shares Expires 2025-12-14 F3 · derivative.exercise_date: This stock option vests over four years in equal monthly installments based on continued service. Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 23:28 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | GrantCommon Stock | 10,400 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-066483 · doc4.xml · nonDerivative · entry 1 Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,402 F1 · security: This stock award was acquired pursuant to a grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive, upon vesting of the unit, one share of the issuer's common stock. These RSUs vest over three years in substantially equal quarterly installments based on continued service. F2 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 3,703 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c). Read SEC document |
| November 16, 2017 Filed Nov 17, 2017 23:06 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | Disposition to issuerCommon Stock | 5,289 | $44.23 | $233,932.47 |
DisclosureSEC source: 0001209191-17-061597 · doc4.xml · nonDerivative · entry 2 Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,549 F4 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is 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 does not represent a discretionary trade by the reporting person. F5 · price: This transaction was executed in multiple trades at prices ranging from $41.98 to $45.47. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. F3 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 3,250 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c). Read SEC document |
| November 15, 2017 Filed Nov 17, 2017 23:06 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | GrantStock Option · Derivative | 37,500 | $0.00 Strike: $14.41 | $0.00 |
DisclosureSEC source: 0001209191-17-061597 · doc4.xml · derivative · entry 3 Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,500 Underlying: Common Stock · 37,500 shares Expires 2024-12-12 F6 · security: These options, at the time of their grant were subject to both performance-based and time-based vesting requirements. On November 15, 2017, the performance-based condition vesting was satisfied. The time-based vesting is on a monthly pro-rata basis over a period of four years from the grant date (December 13, 2016). F7 · date: These stock options were granted on December 13, 2016 and the performance-based vesting requirement for these stock options was satisfied on November 15, 2017 upon the Compensation Committee's certification of the successful acceptance of the New Drug Application by the FDA for Ciprofloxacin Dry Powder Inhalation (Cipro CPI). F8 · derivative.exercise_date: This stock option vests on a monthly pro-rata basis over a period of four years from the grant date. Read SEC document |
| November 15, 2017 Filed Nov 17, 2017 23:06 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | GrantCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-061597 · doc4.xml · nonDerivative · entry 1 Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,838 F1 · security: Represents restricted stock units ("RSUs"), convertible on a one-for-one basis into shares of Common Stock of the Company. These RSUs, at the time of their grant on December 13, 2016, were subject to both performance-based and time-based vesting requirements. On November 15, 2017, the performance-based condition vesting was satisfied. The time-based vesting is on a quarterly pro-rata basis over a period of three (3) years from the date of grant. F2 · date: These restricted stock units ("RSUs") were granted on December 13, 2016 and the performance-based vesting requirement for these RSUs was satisfied on November 15, 2017 upon the Compensation Committee's certification of the successful acceptance of the New Drug Application by the FDA for Ciprofloxacin Dry Powder Inhalation (Cipro DPI). F3 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 3,250 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c). Read SEC document |
| August 16, 2017 Filed Aug 18, 2017 23:05 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | SaleCommon Stock | 2,648 | $19.32 | $51,159.36 |
DisclosureSEC source: 0001209191-17-049669 · doc4.xml · nonDerivative · entry 1 Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,838 F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is 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 does not represent a discretionary trade by the reporting person. F2 · price: This transaction was executed in multiple trades at prices ranging from $19.02 to $19.67. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. F3 · balance_after: This number includes 997 shares held by the reporting person in the Issuer's 401(K) plan and 3,250 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c). Read SEC document |
| May 16, 2017 Filed May 19, 2017 00:50 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | SaleCommon Stock | 2,651 | $19.55 | $51,827.05 |
DisclosureSEC source: 0001209191-17-033772 · doc4.xml · nonDerivative · entry 1 Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,986 F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is 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 does not represent a discretionary trade by the reporting person. F2 · price: This transaction was executed in multiple trades at prices ranging from $19.31 to $19.90. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. F3 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 2,750 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c). Read SEC document |
| March 20, 2017 Filed Mar 22, 2017 22:04 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | Exercise / conversionStock Option · Derivative | 37,500 | $0.00 Strike: $7.21 | $0.00 |
DisclosureSEC source: 0001209191-17-022409 · doc4.xml · derivative · entry 5 Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 37,500 shares Expires 2020-02-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| March 20, 2017 Filed Mar 22, 2017 22:04 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | Exercise / conversionStock Option · Derivative | 75,000 | $0.00 Strike: $11.34 | $0.00 |
DisclosureSEC source: 0001209191-17-022409 · doc4.xml · derivative · entry 4 Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 75,000 shares Expires 2018-01-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| March 20, 2017 Filed Mar 22, 2017 22:04 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | SaleCommon Stock | 112,500 | $19.69 | $2,215,125.00 |
DisclosureSEC source: 0001209191-17-022409 · doc4.xml · nonDerivative · entry 3 Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,637 F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F3 · price: This transaction was executed in multiple trades at prices ranging from $19.50 to $20.14. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. F2 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 2,750 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c). Read SEC document |
| March 20, 2017 Filed Mar 22, 2017 22:04 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | Exercise / conversionCommon Stock | 37,500 | $7.21 | $270,375.00 |
DisclosureSEC source: 0001209191-17-022409 · doc4.xml · nonDerivative · entry 2 Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,137 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F2 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 2,750 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c). Read SEC document |
| March 20, 2017 Filed Mar 22, 2017 22:04 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | Exercise / conversionCommon Stock | 75,000 | $11.34 | $850,500.00 |
DisclosureSEC source: 0001209191-17-022409 · doc4.xml · nonDerivative · entry 1 Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,637 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F2 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 2,750 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c). Read SEC document |
| February 16, 2017 Filed Feb 18, 2017 01:06 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | SaleCommon Stock | 1,965 | $13.14 | $25,820.10 |
DisclosureSEC source: 0001209191-17-012409 · doc4.xml · nonDerivative · entry 1 Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,637 F1 · price: This transaction was executed in multiple trades at prices ranging from $12.94 to $13.72. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. F2 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 2,750 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c). Read SEC document |
| December 13, 2016 Filed Dec 16, 2016 01:47 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | GrantStock Option · Derivative | 37,500 | $0.00 Strike: $12.24 | $0.00 |
DisclosureSEC source: 0001209191-16-155522 · doc4.xml · derivative · entry 2 Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,500 Underlying: Common Stock · 37,500 shares Expires 2024-12-12 F3 · derivative.exercise_date: This stock option vests over four years in equal monthly installments based on continued service. Read SEC document |
| December 13, 2016 Filed Dec 16, 2016 01:47 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | GrantCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-155522 · doc4.xml · nonDerivative · entry 1 Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,602 F1 · security: This stock award was acquired pursuant to a grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive, upon vesting of the unit, one share of the issuer's common stock. These RSUs vest over three years in equal quarterly installments based on continued service. F2 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 2,750 shares held by the reporting person from the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c). Read SEC document |
| November 16, 2016 Filed Nov 18, 2016 23:12 UTC | NEKTAR THERAPEUTICS NKTR · Entity 4364 | SaleCommon Stock | 1,986 | $13.96 | $27,724.56 |
DisclosureSEC source: 0001209191-16-151306 · doc4.xml · nonDerivative · entry 1 Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,102 F1 · price: This transaction was executed in multiple trades at prices ranging from $13.71 to $14.14. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. F2 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(k) plan and 2,250 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c). 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.