Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ACHIEVE LIFE SCIENCES, INC.ACHV · Entity 5072 | CSO | April 28, 2022 | April 29, 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.
ACHIEVE LIFE SCIENCES, INC.
Report date April 28, 2022 · Filed April 29, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,502 |
Ending reported balance
After 2022-04-28 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2022-04-28 · Exercise / conversion · Acquired 1,000 · Balance 3,752 F1: Represents shares of common stock acquired upon settlement of the performance restricted stock units ("PRSUs") listed in Table II. Row 2 · 2022-04-28 · Tax withholding · Disposed 250 · Balance 3,502 F2: Represents shares of common stock that have been withheld by the issuer to satisfy the tax liability in connection with the settlement of PRSUs. |
| Performance Restricted Stock Unit (PRSU)SEC Table II · derivative / convertible security · Expires 2025-01-26 | Direct | 1,000 |
Reported balance
After 2022-04-28 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2022-04-28 · Exercise / conversion · Disposed 1,000 · Balance 1,000 F4: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement. F5: Pursuant to the terms of the PRSU 50% of the total shares underlying the PRSU vest on the achievement of a performance-based milestone, and 50% vest on the first anniversary of the achievement of such milestone. |
| Common StockSEC Table I · non-derivative | IndirectBy Spouse | 1,796 |
Reported balance
Holding disclosure · report date 2022-04-28 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 1,796 |
| Common StockSEC Table I · non-derivative | IndirectBy Ricanto Limited | 882 |
Reported balance
Holding disclosure · report date 2022-04-28 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 882 F3: The reporting holder is a principal owner of Ricanto Limited. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of common stock acquired upon settlement of the performance restricted stock units ("PRSUs") listed in Table II.
F2: Represents shares of common stock that have been withheld by the issuer to satisfy the tax liability in connection with the settlement of PRSUs.
F3: The reporting holder is a principal owner of Ricanto Limited.
F4: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.
F5: Pursuant to the terms of the PRSU 50% of the total shares underlying the PRSU vest on the achievement of a performance-based milestone, and 50% vest on the first anniversary of the achievement of such milestone.
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 28, 2022 Filed Apr 29, 2022 20:51 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | Exercise / conversionPerformance Restricted Stock Unit (PRSU) · Derivative | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-026291 · doc4.xml · derivative · entry 5 Clarke Anthony · CIK 0001713368 · CSO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Underlying: Common Stock · 1,000 shares Expires 2025-01-26 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. F4 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement. F5 · derivative.exercise_date: Pursuant to the terms of the PRSU 50% of the total shares underlying the PRSU vest on the achievement of a performance-based milestone, and 50% vest on the first anniversary of the achievement of such milestone. Read SEC document |
| April 28, 2022 Filed Apr 29, 2022 20:51 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | Tax withholdingCommon Stock | 250 | $7.43 | $1,857.50 |
DisclosureSEC source: 0001209191-22-026291 · doc4.xml · nonDerivative · entry 2 Clarke Anthony · CIK 0001713368 · CSO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,502 F2 · shares: Represents shares of common stock that have been withheld by the issuer to satisfy the tax liability in connection with the settlement of PRSUs. Read SEC document |
| April 28, 2022 Filed Apr 29, 2022 20:51 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | Exercise / conversionCommon Stock | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-026291 · doc4.xml · nonDerivative · entry 1 Clarke Anthony · CIK 0001713368 · CSO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,752 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 · shares: Represents shares of common stock acquired upon settlement of the performance restricted stock units ("PRSUs") listed in Table II. Read SEC document |
| January 03, 2022 Filed Jan 10, 2022 22:28 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantStock Option (right to buy) · Derivative | 7,500 | $0.00 Strike: $8.26 | $0.00 |
DisclosureSEC source: 0001209191-22-002724 · doc4.xml · derivative · entry 2 Clarke Anthony · CIK 0001713368 · CSO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Underlying: Common Stock · 7,500 shares Expires 2032-01-03 F3 · derivative.exercise_date: The options vest one-third on the first anniversary of January 3, 2022 and thereafter in monthly installments over 24 months. Read SEC document |
| January 03, 2022 Filed Jan 10, 2022 22:28 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantPerformance Restricted Stock Unit (PRSU) · Derivative | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-002724 · doc4.xml · derivative · entry 1 Clarke Anthony · CIK 0001713368 · CSO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Underlying: Common Stock · 7,500 shares Expires 2026-01-03 F1 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement. F2 · derivative.exercise_date: Pursuant to the terms of the PRSU 50% of the total shares underlying the PRSU vest on the achievement of a performance-based milestone, and 50% vest on the first anniversary of the achievement of such milestone. The PRSUs will lapse in full if achievement of such milestone is not met. Read SEC document |
| January 26, 2021 Filed Jan 28, 2021 21:27 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantStock Option (right to buy) · Derivative | 8,000 | $0.00 Strike: $13.09 | $0.00 |
DisclosureSEC source: 0001209191-21-005881 · doc4.xml · derivative · entry 2 Clarke Anthony · CIK 0001713368 · CSO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Underlying: Common Stock · 8,000 shares Expires 2031-01-26 F3 · derivative.exercise_date: The options vest 25% on the first anniversary of January 26, 2021 and thereafter in monthly installments over 36 months. Read SEC document |
| January 26, 2021 Filed Jan 28, 2021 21:27 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantPerformance Restricted Stock Unit (PRSU) · Derivative | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-005881 · doc4.xml · derivative · entry 1 Clarke Anthony · CIK 0001713368 · CSO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Underlying: Common Stock · 2,000 shares Expires 2025-01-26 F1 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement. F2 · derivative.exercise_date: Pursuant to the terms of the PRSU 50% of the total shares underlying the PRSU vest on the achievement of a performance-based milestone, and 50% vest on the first anniversary of the achievement of such milestone. The PRSUs will lapse in full if achievement of such milestone is not met. Read SEC document |
| November 16, 2020 Filed Nov 18, 2020 21:47 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantStock Option (right to buy) · Derivative | 12,000 | $0.00 Strike: $10.36 | $0.00 |
DisclosureSEC source: 0001209191-20-059141 · doc4.xml · derivative · entry 1 Clarke Anthony · CIK 0001713368 · CSO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 12,000 shares Expires 2030-11-16 F1 · derivative.exercise_date: Pursuant to the terms of the options 50% of the total shares underlying the option vest on the achievement of a performance-based milestone, and 50% vest on the first anniversary of the achievement of such milestone. The options will lapse in full if achievement of such milestone is not met. Read SEC document |
| January 28, 2020 Filed Jan 30, 2020 22:00 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantStock Option (right to buy) · Derivative | 200,000 | $0.00 Strike: $0.56 | $0.00 |
DisclosureSEC source: 0001209191-20-005575 · doc4.xml · derivative · entry 1 Clarke Anthony · CIK 0001713368 · Director · President & CSO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2030-01-28 F1 · derivative.exercise_date: The options vest 25% on the first anniversary of January 28, 2020 and thereafter in monthly installments over 36 months. Read SEC document |
| January 29, 2019 Filed Jan 31, 2019 21:38 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantStock Option (right to buy) · Derivative | 10,000 | $0.00 Strike: $1.42 | $0.00 |
DisclosureSEC source: 0001209191-19-006166 · doc4.xml · derivative · entry 2 Clarke Anthony · CIK 0001713368 · Director · President & CSO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2029-01-29 F2 · derivative.exercise_date: Pursuant to the terms of the options 25% of the total shares underlying the option vest on the achievement of a performance-based milestone, and 75% vest in monthly installments over 24 months commencing one month from achievement of such milestone. The options will lapse in full if achievement of such milestone is not met by mid-2019 Read SEC document |
| January 29, 2019 Filed Jan 31, 2019 21:38 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantStock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $1.42 | $0.00 |
DisclosureSEC source: 0001209191-19-006166 · doc4.xml · derivative · entry 1 Clarke Anthony · CIK 0001713368 · Director · President & CSO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2029-01-29 F1 · derivative.exercise_date: The options vest 25% on the first anniversary of January 29, 2019 and thereafter in monthly installments over 36 months. Read SEC document |
| September 20, 2018 Filed Sep 21, 2018 20:38 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantStock Option (right to buy) · Derivative | 37,000 | $0.00 Strike: $2.56 | $0.00 |
DisclosureSEC source: 0001209191-18-051896 · doc4.xml · derivative · entry 1 Clarke Anthony · CIK 0001713368 · Director · President & CSO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,000 Underlying: Common Stock · 37,000 shares Expires 2028-09-20 F1 · derivative.exercise_date: The options will vest in equal monthly installments over a four year period commencing one month from September 20 2018. Read SEC document |
| July 26, 2018 Filed Jul 30, 2018 19:56 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $3.37 | $0.00 |
DisclosureSEC source: 0001209191-18-044355 · doc4.xml · derivative · entry 1 Clarke Anthony · CIK 0001713368 · Director · President & CSO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2028-07-26 F1 · derivative.exercise_date: The options will vest in equal monthly installments over a four year period commencing one month from July 26 2018. Read SEC document |
| August 01, 2017 Filed Aug 4, 2017 00:46 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantCommon Stock | 6,364,335 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-047582 · doc4.xml · nonDerivative · entry 3 Clarke Anthony · CIK 0001713368 · Director · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Son Disclosed balance after: 6,364,335 F1 · price: Received in exchange for 1,500 common shares of Achieve Life Science, Inc. ("Achieve") pursuant to the merger between OncoGenex Pharmaceuticals, Inc. ("OncoGenex") and Achieve (the "Merger"). On the effective date of the Merger, the closing price of Achieve's common stock was $4.576 per share, representing a closing price of $0.416 per share of OncoGenex's common stock as adjusted to reflect an 11-for-1 reverse stock split effected on August 1, 2017 (the "Reverse Stock Split"). Read SEC document |
| August 01, 2017 Filed Aug 4, 2017 00:46 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantCommon Stock | 4,242,890 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-047582 · doc4.xml · nonDerivative · entry 2 Clarke Anthony · CIK 0001713368 · Director · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 4,242,890 F2 · price: Received in exchange for 1,000 common shares of Achieve pursuant to the Merger between OncoGenex and Achieve. On the effective date of the Merger, the closing price of Achieve's common stock was $4.576 per share, representing a closing price of $0.416 per share of OncoGenex's common stock as adjusted to reflect the Reverse Stock Split. Read SEC document |
| August 01, 2017 Filed Aug 4, 2017 00:46 UTC | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantCommon Stock | 6,364,335 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-047582 · doc4.xml · nonDerivative · entry 1 Clarke Anthony · CIK 0001713368 · Director · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,364,335 F1 · price: Received in exchange for 1,500 common shares of Achieve Life Science, Inc. ("Achieve") pursuant to the merger between OncoGenex Pharmaceuticals, Inc. ("OncoGenex") and Achieve (the "Merger"). On the effective date of the Merger, the closing price of Achieve's common stock was $4.576 per share, representing a closing price of $0.416 per share of OncoGenex's common stock as adjusted to reflect an 11-for-1 reverse stock split effected on August 1, 2017 (the "Reverse Stock Split"). Read SEC document |
| August 01, 2017 Filed Aug 11, 2017 18:18 UTC Amendment | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantCommon Stock | 176,418 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-048552 · doc4a.xml · nonDerivative · entry 4 Clarke Anthony · CIK 0001713368 · Director · President & CSO 10b5-1 filing: Not disclosed Ownership: Indirect · By Ricanto Limited Disclosed balance after: 176,418 F4 · price: This amended Form 4 is filed to include the number of common shares received in exchange for 491 common shares of Achieve pursuant to the Merger. On the effective date of the Merger, the closing price of Achieve's common stock was $4.576 per share, representing a closing price of $0.416 per share of OncoGenex's common stock as adjusted to reflect the Reverse Stock Split. F5 · ownership.nature: The reporting holder is a principal owner of Ricanto Limited. Read SEC document |
| August 01, 2017 Filed Aug 11, 2017 18:18 UTC Amendment | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantCommon Stock | 538,958 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-048552 · doc4a.xml · nonDerivative · entry 3 Clarke Anthony · CIK 0001713368 · Director · President & CSO 10b5-1 filing: Not disclosed Ownership: Indirect · By Son Disclosed balance after: 538,958 F3 · shares: This amended Form 4 is filed to correct the number of common shares received in exchange for 1,500 common shares of Achieve pursuant to the Merger. On the effective date of the Merger, the closing price of Achieve's common stock was $4.576 per share, representing a closing price of $0.416 per share of OncoGenex's common stock as adjusted to reflect the Reverse Stock Split. F3 · price: This amended Form 4 is filed to correct the number of common shares received in exchange for 1,500 common shares of Achieve pursuant to the Merger. On the effective date of the Merger, the closing price of Achieve's common stock was $4.576 per share, representing a closing price of $0.416 per share of OncoGenex's common stock as adjusted to reflect the Reverse Stock Split. Read SEC document |
| August 01, 2017 Filed Aug 11, 2017 18:18 UTC Amendment | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantCommon Stock | 359,305 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-048552 · doc4a.xml · nonDerivative · entry 2 Clarke Anthony · CIK 0001713368 · Director · President & CSO 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 359,305 F2 · shares: This amended Form 4 is filed to correct the number of common shares received in exchange for 1,000 common shares of Achieve pursuant to the Merger. On the effective date of the Merger, the closing price of Achieve's common stock was $4.576 per share, representing a closing price of $0.416 per share of OncoGenex's common stock as adjusted to reflect the Reverse Stock Split. F2 · price: This amended Form 4 is filed to correct the number of common shares received in exchange for 1,000 common shares of Achieve pursuant to the Merger. On the effective date of the Merger, the closing price of Achieve's common stock was $4.576 per share, representing a closing price of $0.416 per share of OncoGenex's common stock as adjusted to reflect the Reverse Stock Split. Read SEC document |
| August 01, 2017 Filed Aug 11, 2017 18:18 UTC Amendment | ACHIEVE LIFE SCIENCES, INC. ACHV · Entity 5072 | GrantCommon Stock | 550,455 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-048552 · doc4a.xml · nonDerivative · entry 1 Clarke Anthony · CIK 0001713368 · Director · President & CSO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 550,455 F1 · shares: This amended Form 4 is filed to correct the number of common shares received in exchange for 1,532 common shares of Achieve Life Science, Inc. ("Achieve") pursuant to the merger between OncoGenex Pharmaceuticals, Inc. ("OncoGenex") and Achieve (the "Merger"). On the effective date of the Merger, the closing price of Achieve's common stock was $4.576 per share, representing a closing price of $0.416 per share of OncoGenex's common stock as adjusted to reflect an 11-for-1 reverse stock split effected on August 1, 2017 (the "Reverse Stock Split"). F1 · price: This amended Form 4 is filed to correct the number of common shares received in exchange for 1,532 common shares of Achieve Life Science, Inc. ("Achieve") pursuant to the merger between OncoGenex Pharmaceuticals, Inc. ("OncoGenex") and Achieve (the "Merger"). On the effective date of the Merger, the closing price of Achieve's common stock was $4.576 per share, representing a closing price of $0.416 per share of OncoGenex's common stock as adjusted to reflect an 11-for-1 reverse stock split effected on August 1, 2017 (the "Reverse Stock Split"). 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.