Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Edesa Biotech, Inc.EDSA · Entity 7223 | Chief Financial Officer | November 02, 2022 | November 04, 2022 |
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.
Edesa Biotech, Inc.
Report date November 02, 2022 · Filed November 04, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | IndirectBy Trust | 10,715 |
Reported balance
After 2022-11-02 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2022-11-02 · Grant · Acquired 8,888 · Balance 10,715 F1: The reported securities are included within 8,888 Common Shares purchased by the reporting person for $1.1250 per Common Share. Each Common Share includes the purchase of one-half of a Class A Warrant to purchase one Common Share, and one-half of a Class B Warrant to purchase one Common Share. |
| Common Share Warrants (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.50 | IndirectBy Trust | 4,444 |
Reported balance
After 2022-11-02 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-11-02 · Grant · Acquired 4,444 · Balance 4,444 F2: Consists of Class A Warrants to purchase Common Shares. The Class A Warrants are exercisable on the date that is the earlier to occur of 60 days from the closing date of the offering and the date a Registration Statement covering the resale of the Common Shares and Common Shares issuable upon exercise of the Warrants is declared effective (the "Initial Exercise Date") and will expire three years after the Initial Exercise Date. F1: The reported securities are included within 8,888 Common Shares purchased by the reporting person for $1.1250 per Common Share. Each Common Share includes the purchase of one-half of a Class A Warrant to purchase one Common Share, and one-half of a Class B Warrant to purchase one Common Share. |
| Common Share Warrants (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.00 | IndirectBy Trust | 4,444 |
Reported balance
After 2022-11-02 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2022-11-02 · Grant · Acquired 4,444 · Balance 4,444 F3: Consists of Class B Warrants to purchase Common Shares. The Class B Warrants are exercisable on the Initial Exercise Date and will expire 12 months after the Initial Exercise Date. F1: The reported securities are included within 8,888 Common Shares purchased by the reporting person for $1.1250 per Common Share. Each Common Share includes the purchase of one-half of a Class A Warrant to purchase one Common Share, and one-half of a Class B Warrant to purchase one Common Share. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported securities are included within 8,888 Common Shares purchased by the reporting person for $1.1250 per Common Share. Each Common Share includes the purchase of one-half of a Class A Warrant to purchase one Common Share, and one-half of a Class B Warrant to purchase one Common Share.
F2: Consists of Class A Warrants to purchase Common Shares. The Class A Warrants are exercisable on the date that is the earlier to occur of 60 days from the closing date of the offering and the date a Registration Statement covering the resale of the Common Shares and Common Shares issuable upon exercise of the Warrants is declared effective (the "Initial Exercise Date") and will expire three years after the Initial Exercise Date.
F3: Consists of Class B Warrants to purchase Common Shares. The Class B Warrants are exercisable on the Initial Exercise Date and will expire 12 months after the Initial Exercise 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 |
|---|---|---|---|---|---|---|
| November 02, 2022 Filed Nov 4, 2022 19:27 UTC | Edesa Biotech, Inc. EDSA · Entity 7223 | GrantCommon Share Warrants (Right to Buy) · Derivative | 4,444 | Not disclosed Strike: $1.00 | Not disclosed |
DisclosureSEC source: 0001654954-22-014746 · section16.xml · derivative · entry 3 NIFFENEGGER KATHI · CIK 0001620146 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 4,444 Underlying: Common Shares · 4,444 shares Expires not disclosed F3 · security: Consists of Class B Warrants to purchase Common Shares. The Class B Warrants are exercisable on the Initial Exercise Date and will expire 12 months after the Initial Exercise Date. F1 · price: The reported securities are included within 8,888 Common Shares purchased by the reporting person for $1.1250 per Common Share. Each Common Share includes the purchase of one-half of a Class A Warrant to purchase one Common Share, and one-half of a Class B Warrant to purchase one Common Share. F3 · derivative.exercise_date: Consists of Class B Warrants to purchase Common Shares. The Class B Warrants are exercisable on the Initial Exercise Date and will expire 12 months after the Initial Exercise Date. F3 · derivative.expiration_date: Consists of Class B Warrants to purchase Common Shares. The Class B Warrants are exercisable on the Initial Exercise Date and will expire 12 months after the Initial Exercise Date. Read SEC document |
| November 02, 2022 Filed Nov 4, 2022 19:27 UTC | Edesa Biotech, Inc. EDSA · Entity 7223 | GrantCommon Share Warrants (Right to Buy) · Derivative | 4,444 | Not disclosed Strike: $1.50 | Not disclosed |
DisclosureSEC source: 0001654954-22-014746 · section16.xml · derivative · entry 2 NIFFENEGGER KATHI · CIK 0001620146 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 4,444 Underlying: Common Shares · 4,444 shares Expires not disclosed F2 · security: Consists of Class A Warrants to purchase Common Shares. The Class A Warrants are exercisable on the date that is the earlier to occur of 60 days from the closing date of the offering and the date a Registration Statement covering the resale of the Common Shares and Common Shares issuable upon exercise of the Warrants is declared effective (the "Initial Exercise Date") and will expire three years after the Initial Exercise Date. F1 · price: The reported securities are included within 8,888 Common Shares purchased by the reporting person for $1.1250 per Common Share. Each Common Share includes the purchase of one-half of a Class A Warrant to purchase one Common Share, and one-half of a Class B Warrant to purchase one Common Share. F2 · derivative.exercise_date: Consists of Class A Warrants to purchase Common Shares. The Class A Warrants are exercisable on the date that is the earlier to occur of 60 days from the closing date of the offering and the date a Registration Statement covering the resale of the Common Shares and Common Shares issuable upon exercise of the Warrants is declared effective (the "Initial Exercise Date") and will expire three years after the Initial Exercise Date. F2 · derivative.expiration_date: Consists of Class A Warrants to purchase Common Shares. The Class A Warrants are exercisable on the date that is the earlier to occur of 60 days from the closing date of the offering and the date a Registration Statement covering the resale of the Common Shares and Common Shares issuable upon exercise of the Warrants is declared effective (the "Initial Exercise Date") and will expire three years after the Initial Exercise Date. Read SEC document |
| November 02, 2022 Filed Nov 4, 2022 19:27 UTC | Edesa Biotech, Inc. EDSA · Entity 7223 | GrantCommon Shares | 8,888 | $1.13 | $9,999.00 |
DisclosureSEC source: 0001654954-22-014746 · section16.xml · nonDerivative · entry 1 NIFFENEGGER KATHI · CIK 0001620146 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 10,715 F1 · price: The reported securities are included within 8,888 Common Shares purchased by the reporting person for $1.1250 per Common Share. Each Common Share includes the purchase of one-half of a Class A Warrant to purchase one Common Share, and one-half of a Class B Warrant to purchase one Common Share. Read SEC document |
| February 28, 2022 Filed Mar 8, 2022 00:40 UTC | Edesa Biotech, Inc. EDSA · Entity 7223 | GrantStock Option (right to buy) · Derivative | 43,500 | $0.00 Strike: $3.71 | $0.00 |
DisclosureSEC source: 0001654954-22-002652 · section16.xml · derivative · entry 1 NIFFENEGGER KATHI · CIK 0001620146 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,500 Underlying: Common Shares · 43,500 shares Expires 2032-02-28 F1 · derivative.exercise_date: This option vests monthly in equal proportions over 36 months beginning on the Grant Date. Read SEC document |
| April 22, 2021 Filed Apr 26, 2021 21:01 UTC | Edesa Biotech, Inc. EDSA · Entity 7223 | GrantStock Option (right to buy) · Derivative | 80,000 | $0.00 Strike: $5.45 | $0.00 |
DisclosureSEC source: 0001654954-21-004635 · section16.xml · derivative · entry 1 NIFFENEGGER KATHI · CIK 0001620146 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 Underlying: Common Shares · 80,000 shares Expires 2031-04-22 F1 · derivative.exercise_date: This option vests monthly in equal proportions over 36 months beginning on the Grant Date. Read SEC document |
| November 06, 2020 Filed Nov 9, 2020 17:54 UTC | Edesa Biotech, Inc. EDSA · Entity 7223 | OtherCommon Share Warrants (Right to Buy) · Derivative | 609 | $0.00 Strike: $4.00 | $0.00 |
DisclosureSEC source: 0001654954-20-011986 · section16.xml · derivative · entry 2 NIFFENEGGER KATHI · CIK 0001620146 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 0 Underlying: Common Shares · 609 shares Expires 2020-11-08 Read SEC document |
| November 06, 2020 Filed Nov 9, 2020 17:54 UTC | Edesa Biotech, Inc. EDSA · Entity 7223 | OtherCommon Shares | 609 | $4.00 | $2,436.00 |
DisclosureSEC source: 0001654954-20-011986 · section16.xml · nonDerivative · entry 1 NIFFENEGGER KATHI · CIK 0001620146 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 1,827 Read SEC document |
| October 13, 2020 Filed Oct 14, 2020 19:51 UTC | Edesa Biotech, Inc. EDSA · Entity 7223 | GrantStock option (right to buy) · Derivative | 50,000 | $0.00 Strike: $7.44 | $0.00 |
DisclosureSEC source: 0001654954-20-011140 · section16.xml · derivative · entry 1 NIFFENEGGER KATHI · CIK 0001620146 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common shares · 50,000 shares Expires 2030-10-13 F1 · derivative.exercise_date: This option vests monthly in equal proportions over 36 months beginning on the Grant Date. Read SEC document |
| February 12, 2020 Filed Feb 14, 2020 23:19 UTC | Edesa Biotech, Inc. EDSA · Entity 7223 | GrantShare Option (Right to Buy) · Derivative | 88,699 | $0.00 Strike: $3.16 | $0.00 |
DisclosureSEC source: 0001654954-20-001650 · section16.xml · derivative · entry 1 NIFFENEGGER KATHI · CIK 0001620146 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,699 Underlying: Common Shares · 88,699 shares Expires 2030-02-12 F1 · derivative.exercise_date: 33% vested on 2/12/2020, with a prorata amount of the balance vesting monthly thereafter over the next 36 months until fully vested Read SEC document |
| January 08, 2020 Filed Jan 11, 2020 02:36 UTC | Edesa Biotech, Inc. EDSA · Entity 7223 | GrantCommon Share Warrants (Right to Buy) · Derivative | 609 | Not disclosed Strike: $4.00 | Not disclosed |
DisclosureSEC source: 0001654954-20-000310 · section16.xml · derivative · entry 3 NIFFENEGGER KATHI · CIK 0001620146 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 609 Underlying: Common Shares · 609 shares Expires 2020-11-08 F3 · security: Consists of Class B Warrants to purchase Common Shares. The Class B Warrants are exercisable beginning on July 8, 2020 and expire on November 8, 2020. F1 · price: The reported securities are included within 1,218 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. Read SEC document |
| January 08, 2020 Filed Jan 11, 2020 02:36 UTC | Edesa Biotech, Inc. EDSA · Entity 7223 | GrantCommon Share Warrants (Right to Buy) · Derivative | 914 | Not disclosed Strike: $4.80 | Not disclosed |
DisclosureSEC source: 0001654954-20-000310 · section16.xml · derivative · entry 2 NIFFENEGGER KATHI · CIK 0001620146 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 914 Underlying: Common Shares · 914 shares Expires 2023-07-08 F2 · security: Consists of Class A Warrants to purchase Common Shares. The Class A Warrants are exercisable beginning on July 8, 2020 and expire on July 8, 2023. F1 · price: The reported securities are included within 1,218 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. Read SEC document |
| January 08, 2020 Filed Jan 11, 2020 02:36 UTC | Edesa Biotech, Inc. EDSA · Entity 7223 | GrantCommon Shares | 1,218 | $4.11 | $5,005.98 |
DisclosureSEC source: 0001654954-20-000310 · section16.xml · nonDerivative · entry 1 NIFFENEGGER KATHI · CIK 0001620146 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 1,218 F1 · price: The reported securities are included within 1,218 Common Shares purchased by the reporting person for $4.11 per Common Share. Each Common Share includes the purchase of Class A Warrants to purchase 0.75 of a Common Share, and Class B Warrants to purchase 0.50 of a Common Share. Read SEC document |
| March 12, 2018 Filed Mar 15, 2018 00:20 UTC | Edesa Biotech, Inc. SBOT · Entity 7223 | GrantShare Option (Right to Buy) · Derivative | 35,000 | $0.00 Strike: $0.84 | $0.00 |
DisclosureSEC source: 0001144204-18-014750 · tv488519_4.xml · derivative · entry 1 NIFFENEGGER KATHI · CIK 0001620146 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Shares · 35,000 shares Expires 2025-03-12 F1 · derivative.exercise_date: Option grant under the 2017 Incentive Compensation Plan, which shall vest as to one-third immediately, as to one-third on March 12, 2019 and as to the remaining one-third on September 12, 2019. Read SEC document |
| December 20, 2016 Filed Dec 21, 2016 22:00 UTC | Edesa Biotech, Inc. SBOT · Entity 7223 | GrantShare Option (Right to Buy) · Derivative | 10,000 | $0.00 Strike: $2.03 | $0.00 |
DisclosureSEC source: 0001144204-16-140709 · v455475_4.xml · derivative · entry 1 NIFFENEGGER KATHI · CIK 0001620146 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Shares · 10,000 shares Expires 2023-12-20 F1 · derivative.exercise_date: Option grant under the 2013 Fixed Share Option Plan, which shall vest as to one-third immediately, as to one-third on December 20, 2017 and as to the remaining one-third on June 20, 2018. 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.