Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Transcode Therapeutics, Inc.RNAZ · Entity 8499 | Interim CFO | September 10, 2026 | September 21, 2026 |
| WINDTREE THERAPEUTICS INC /DE/WINT · Entity 8761 | Interim CFO | January 27, 2023 | February 03, 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.
Transcode Therapeutics, Inc.
Report date September 10, 2026 · Filed September 21, 2026
This filing explicitly reported no securities owned.
WINDTREE THERAPEUTICS INC /DE/
Report date January 27, 2023 · Filed February 03, 2023
This filing explicitly reported no securities owned.
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 |
|---|---|---|---|---|---|---|
| May 22, 2020 Filed May 28, 2020 01:55 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock Warrants · Derivative | 449 | $0.00 Strike: $7.98 | $0.00 |
DisclosureSEC source: 0001437749-20-011878 · rdgdoc.xml · derivative · entry 3 Tattory John A · CIK 0001499834 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 449 Underlying: Common Stock · 449 shares Expires 2025-05-22 F3 · price: Issued in connection with the purchase of shares of common stock on May 22, 2020 as reported above. Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:55 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 449 | $7.25 | $3,255.25 |
DisclosureSEC source: 0001437749-20-011878 · rdgdoc.xml · nonDerivative · entry 1 Tattory John A · CIK 0001499834 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,280 F1 · balance_after: Adjusted to reflect 1-for-3 reverse stock split effective April 29, 2020. Read SEC document |
| March 19, 2019 Filed Mar 21, 2019 20:36 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantEmployee Stock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $4.30 | $0.00 |
DisclosureSEC source: 0001437749-19-005430 · rdgdoc.xml · derivative · entry 3 Tattory John A · CIK 0001499834 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2029-03-19 F2 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, equal installments beginning with the first anniversary of the grant. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 22:07 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | Tax withholdingCommon Stock | 10,281 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-005306 · rdgdoc.xml · nonDerivative · entry 1 Tattory John A · CIK 0001499834 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,922 Read SEC document |
| March 15, 2019 Filed May 28, 2020 01:31 UTC Amendment | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | Tax withholdingCommon Stock | 9,708 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-011864 · rdgdoc.xml · nonDerivative · entry 1 Tattory John A · CIK 0001499834 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,495 Read SEC document |
| February 07, 2019 Filed Feb 12, 2019 02:36 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantCommon Stock | 22,078 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-002272 · rdgdoc.xml · nonDerivative · entry 2 Tattory John A · CIK 0001499834 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,203 F1 · kind: The two reported transactions relate to the cancellation of a portion of the restricted stock unit (RSU) award granted on November 1, 2017 and vesting in two equal installments, and the immediate re-issuance of replacement RSUs on substantially the same economic terms. Read SEC document |
| February 07, 2019 Filed Feb 12, 2019 02:36 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | Disposition to issuerCommon Stock | 22,078 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-002272 · rdgdoc.xml · nonDerivative · entry 1 Tattory John A · CIK 0001499834 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,125 F1 · kind: The two reported transactions relate to the cancellation of a portion of the restricted stock unit (RSU) award granted on November 1, 2017 and vesting in two equal installments, and the immediate re-issuance of replacement RSUs on substantially the same economic terms. Read SEC document |
| December 28, 2018 Filed Jan 2, 2019 22:20 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | Tax withholdingCommon Stock | 8,007 | $5.00 | $40,035.00 |
DisclosureSEC source: 0001437749-19-000100 · rdgdoc.xml · nonDerivative · entry 1 Tattory John A · CIK 0001499834 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,203 Read SEC document |
| December 24, 2018 Filed Dec 28, 2018 00:19 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantEmployee Stock Option (Right to Buy) · Derivative | 738,335 | $0.00 Strike: $4.22 | $0.00 |
DisclosureSEC source: 0001437749-18-022677 · rdgdoc.xml · derivative · entry 3 Tattory John A · CIK 0001499834 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 738,335 Underlying: Common Stock · 738,335 shares Expires 2028-12-24 F3 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, annual installments beginning with the first anniversary of the grant date. Read SEC document |
| November 01, 2017 Filed Nov 3, 2017 13:30 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantCommon Stock | 883,144 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-17-018211 · rdgdoc.xml · nonDerivative · entry 1 Tattory John A · CIK 0001499834 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 884,215 F1 · shares: Restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock, having a value when issued equal to the combined total value of the 2017 and 2018 Target Bonus Amounts (as defined in the executive's employment agreement). The RSUs shall vest in two equal installments on March 15, 2018 and March 15, 2019. Read SEC document |
| March 01, 2017 Filed Mar 3, 2017 21:24 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantNon-Qualified Stock Option (Right to Buy) · Derivative | 11,239 | $0.00 Strike: $1.23 | $0.00 |
DisclosureSEC source: 0001437749-17-003781 · rdgdoc.xml · derivative · entry 4 Tattory John A · CIK 0001499834 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,239 Underlying: Common Stock · 11,239 shares Expires 2027-03-01 F1 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, equal installments beginning with the first anniversary of the grant. Read SEC document |
| March 01, 2017 Filed Mar 3, 2017 21:24 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantIncentive Stock Option (Right to Buy) · Derivative | 43,761 | $0.00 Strike: $1.23 | $0.00 |
DisclosureSEC source: 0001437749-17-003781 · rdgdoc.xml · derivative · entry 3 Tattory John A · CIK 0001499834 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,761 Underlying: Common Stock · 43,761 shares Expires 2027-03-01 F1 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, equal installments beginning with the first anniversary of the grant. 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.