Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PUMA BIOTECHNOLOGY, INC.PBYI · Entity 5478 | Director | June 09, 2020 | June 11, 2020 |
| TherapeuticsMD, Inc.TXMD · Entity 7541 | Chief Executive Officer | March 31, 2022 | March 31, 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.
PUMA BIOTECHNOLOGY, INC.
Report date June 09, 2020 · Filed June 11, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 25,748 |
Reported balance
After 2020-06-09 transaction · row 1
1 source rowRow 1 · 2020-06-09 · Grant · Acquired 25,748 · Balance 25,748 F1: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer.
TherapeuticsMD, Inc.
Report date March 31, 2022 · Filed March 31, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Performance Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 2,125,000 |
Reported balance
After 2022-03-31 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-03-31 · Grant · Acquired 2,125,000 · Balance 2,125,000 F1: The performance stock units ("PSUs") vest on April 5, 2025 based the total shareholder return ("TSR") of the issuer over the period from April 1, 2022 to March 31, 2025 and are subject to the continuous service of the reporting person with the issuer. The number of PSUs listed is the base number of PSUs that may vest. The actual number of PSUs that will vest will be between zero and two times the base number of PSUs, depending on the TSR milestone achieved. Each PSU represents a contingent right to receive one share of common stock of the issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The performance stock units ("PSUs") vest on April 5, 2025 based the total shareholder return ("TSR") of the issuer over the period from April 1, 2022 to March 31, 2025 and are subject to the continuous service of the reporting person with the issuer. The number of PSUs listed is the base number of PSUs that may vest. The actual number of PSUs that will vest will be between zero and two times the base number of PSUs, depending on the TSR milestone achieved. Each PSU represents a contingent right to receive one share of common stock of the issuer.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Neon Therapeutics, Inc.
Report date May 06, 2020 · Filed May 06, 2020
Section 16 reporting ended · disclosed 2020-05-06. 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 2020-05-06 transaction · row 1
1 source rowRow 1 · 2020-05-06 · Disposition to issuer · Disposed 776,085 · 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 15, 2020, by and among the Issuer, BioNTech SE ("BioNTech"), and Endor Lights, Inc. a direct wholly owned subsidiary of BioNTech ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger") effective as of May 6, 2020 (the "Effective Time"). Immediately prior to the Effective Time, each issued and outstanding share of common stock of the Issuer (each, a "Share") was cancelled and converted into the right to receive 0.063 (the "Exchange Ratio") of American Depositary Shares of BioNTech ("BioNTech ADS") plus the right, if any, to receive cash in lieu of fractional shares of BioNTech ADSs into which such Shares would have been converted. This number includes 306,667 restricted stock units (each, an "RSU") held by the Reporting Person. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.20 | Direct | 0 |
Reported balance
After 2020-05-06 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-05-06 · Disposition to issuer · Disposed 208,062 · Balance 0 F2: Pursuant to the Merger Agreement, at the Effective Time, these options were cancelled for no consideration because these options had an exercise price per Share that was equal to or greater than the product of the volume weighted average price of one BioNTech ADS for the ten trading days immediately prior to the second business day prior to the day of the closing of the Merger, starting with the opening of trading on the first trading day to the closing of the second to last trading day prior to the day of the closing of the Merger, as reported by Bloomberg, multiplied by the Exchange Ratio (the "Cash Merger Consideration"). |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.13 | Direct | 0 |
Reported balance
After 2020-05-06 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-05-06 · Disposition to issuer · Disposed 200,000 · Balance 0 F2: Pursuant to the Merger Agreement, at the Effective Time, these options were cancelled for no consideration because these options had an exercise price per Share that was equal to or greater than the product of the volume weighted average price of one BioNTech ADS for the ten trading days immediately prior to the second business day prior to the day of the closing of the Merger, starting with the opening of trading on the first trading day to the closing of the second to last trading day prior to the day of the closing of the Merger, as reported by Bloomberg, multiplied by the Exchange Ratio (the "Cash Merger Consideration"). |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.65 | Direct | 0 |
Reported balance
After 2020-05-06 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-05-06 · Disposition to issuer · Disposed 354,632 · Balance 0 F3: Pursuant to the Merger Agreement, at the Effective Time, each option which was outstanding immediately prior to the Effective Time (whether or not then vested or exercisable) was cancelled and converted automatically into the right to receive, as soon as reasonably practicable after the Effective Time (but no later than ten business days thereafter), a cash payment in an amount equal to the product of (i) the total number of Shares subject to such option immediately prior to such cancellation and (ii) the excess, if any, of the Cash Merger Consideration over the exercise price per Share subject to such option immediately prior to such cancellation. |
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 15, 2020, by and among the Issuer, BioNTech SE ("BioNTech"), and Endor Lights, Inc. a direct wholly owned subsidiary of BioNTech ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger") effective as of May 6, 2020 (the "Effective Time"). Immediately prior to the Effective Time, each issued and outstanding share of common stock of the Issuer (each, a "Share") was cancelled and converted into the right to receive 0.063 (the "Exchange Ratio") of American Depositary Shares of BioNTech ("BioNTech ADS") plus the right, if any, to receive cash in lieu of fractional shares of BioNTech ADSs into which such Shares would have been converted. This number includes 306,667 restricted stock units (each, an "RSU") held by the Reporting Person.
F2: Pursuant to the Merger Agreement, at the Effective Time, these options were cancelled for no consideration because these options had an exercise price per Share that was equal to or greater than the product of the volume weighted average price of one BioNTech ADS for the ten trading days immediately prior to the second business day prior to the day of the closing of the Merger, starting with the opening of trading on the first trading day to the closing of the second to last trading day prior to the day of the closing of the Merger, as reported by Bloomberg, multiplied by the Exchange Ratio (the "Cash Merger Consideration").
F3: Pursuant to the Merger Agreement, at the Effective Time, each option which was outstanding immediately prior to the Effective Time (whether or not then vested or exercisable) was cancelled and converted automatically into the right to receive, as soon as reasonably practicable after the Effective Time (but no later than ten business days thereafter), a cash payment in an amount equal to the product of (i) the total number of Shares subject to such option immediately prior to such cancellation and (ii) the excess, if any, of the Cash Merger Consideration over the exercise price per Share subject to such option immediately prior to such cancellation.
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 |
|---|---|---|---|---|---|---|
| March 31, 2022 Filed Mar 31, 2022 21:15 UTC | TherapeuticsMD, Inc. TXMD · Entity 7541 | GrantPerformance Stock Units · Derivative | 2,125,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-021794 · doc4.xml · derivative · entry 1 O'Dowd Hugh · CIK 0001741171 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,125,000 Underlying: Common Stock · 2,125,000 shares Expires not disclosed F1 · derivative.exercise_date: The performance stock units ("PSUs") vest on April 5, 2025 based the total shareholder return ("TSR") of the issuer over the period from April 1, 2022 to March 31, 2025 and are subject to the continuous service of the reporting person with the issuer. The number of PSUs listed is the base number of PSUs that may vest. The actual number of PSUs that will vest will be between zero and two times the base number of PSUs, depending on the TSR milestone achieved. Each PSU represents a contingent right to receive one share of common stock of the issuer. F1 · derivative.expiration_date: The performance stock units ("PSUs") vest on April 5, 2025 based the total shareholder return ("TSR") of the issuer over the period from April 1, 2022 to March 31, 2025 and are subject to the continuous service of the reporting person with the issuer. The number of PSUs listed is the base number of PSUs that may vest. The actual number of PSUs that will vest will be between zero and two times the base number of PSUs, depending on the TSR milestone achieved. Each PSU represents a contingent right to receive one share of common stock of the issuer. F1 · derivative.underlying_shares: The performance stock units ("PSUs") vest on April 5, 2025 based the total shareholder return ("TSR") of the issuer over the period from April 1, 2022 to March 31, 2025 and are subject to the continuous service of the reporting person with the issuer. The number of PSUs listed is the base number of PSUs that may vest. The actual number of PSUs that will vest will be between zero and two times the base number of PSUs, depending on the TSR milestone achieved. Each PSU represents a contingent right to receive one share of common stock of the issuer. Read SEC document |
| March 23, 2022 Filed Mar 28, 2022 11:00 UTC | TherapeuticsMD, Inc. TXMD · Entity 7541 | GrantRestricted Stock Units · Derivative | 2,125,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-021211 · doc4.xml · derivative · entry 1 O'Dowd Hugh · CIK 0001741171 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,125,000 Underlying: Common Stock · 2,125,000 shares Expires not disclosed F1 · derivative.exercise_date: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock of the issuer. The RSUs will vest in three equal installments annually beginning March 23, 2023, becoming fully vested on March 23, 2025. F1 · derivative.expiration_date: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock of the issuer. The RSUs will vest in three equal installments annually beginning March 23, 2023, becoming fully vested on March 23, 2025. F1 · derivative.underlying_shares: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock of the issuer. The RSUs will vest in three equal installments annually beginning March 23, 2023, becoming fully vested on March 23, 2025. Read SEC document |
| August 31, 2021 Filed Aug 31, 2021 21:30 UTC | TherapeuticsMD, Inc. TXMD · Entity 7541 | GrantRestricted Stock Units · Derivative | 2,750,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-054119 · doc4.xml · derivative · entry 2 O'Dowd Hugh · CIK 0001741171 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,750,000 Underlying: Common Stock · 2,750,000 shares Expires not disclosed F2 · shares: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock of the issuer. The RSUs will vest in three equal installments annually beginning August 31, 2022, becoming fully vested on August 31, 2024, subject in each case to the continued service of the reporting person with the issuer. F2 · derivative.exercise_date: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock of the issuer. The RSUs will vest in three equal installments annually beginning August 31, 2022, becoming fully vested on August 31, 2024, subject in each case to the continued service of the reporting person with the issuer. F2 · derivative.expiration_date: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock of the issuer. The RSUs will vest in three equal installments annually beginning August 31, 2022, becoming fully vested on August 31, 2024, subject in each case to the continued service of the reporting person with the issuer. F2 · derivative.underlying_shares: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock of the issuer. The RSUs will vest in three equal installments annually beginning August 31, 2022, becoming fully vested on August 31, 2024, subject in each case to the continued service of the reporting person with the issuer. F2 · balance_after: Each restricted stock unit (RSU) represents a contingent right to receive one share of common stock of the issuer. The RSUs will vest in three equal installments annually beginning August 31, 2022, becoming fully vested on August 31, 2024, subject in each case to the continued service of the reporting person with the issuer. Read SEC document |
| August 31, 2021 Filed Aug 31, 2021 21:30 UTC | TherapeuticsMD, Inc. TXMD · Entity 7541 | GrantPerformance Stock Units · Derivative | 2,750,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-054119 · doc4.xml · derivative · entry 1 O'Dowd Hugh · CIK 0001741171 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,750,000 Underlying: Common Stock · 2,750,000 shares Expires not disclosed F1 · shares: The performance stock units (PSUs) vest on August 31, 2024 based on the market capitalization of the issuer, which will be tested annually over three years beginning August 31, 2022 and are subject to the continuous service of the reporting person with the issuer. The number of PSUs listed is the maximum number of PSUs that may vest. The actual number of PSUs that will vest will be between zero and maximum number of PSUs, depending on the milestones achieved. Each PSU represents a contingent right to receive one share of common stock of the issuer. F1 · derivative.exercise_date: The performance stock units (PSUs) vest on August 31, 2024 based on the market capitalization of the issuer, which will be tested annually over three years beginning August 31, 2022 and are subject to the continuous service of the reporting person with the issuer. The number of PSUs listed is the maximum number of PSUs that may vest. The actual number of PSUs that will vest will be between zero and maximum number of PSUs, depending on the milestones achieved. Each PSU represents a contingent right to receive one share of common stock of the issuer. F1 · derivative.expiration_date: The performance stock units (PSUs) vest on August 31, 2024 based on the market capitalization of the issuer, which will be tested annually over three years beginning August 31, 2022 and are subject to the continuous service of the reporting person with the issuer. The number of PSUs listed is the maximum number of PSUs that may vest. The actual number of PSUs that will vest will be between zero and maximum number of PSUs, depending on the milestones achieved. Each PSU represents a contingent right to receive one share of common stock of the issuer. F1 · derivative.underlying_shares: The performance stock units (PSUs) vest on August 31, 2024 based on the market capitalization of the issuer, which will be tested annually over three years beginning August 31, 2022 and are subject to the continuous service of the reporting person with the issuer. The number of PSUs listed is the maximum number of PSUs that may vest. The actual number of PSUs that will vest will be between zero and maximum number of PSUs, depending on the milestones achieved. Each PSU represents a contingent right to receive one share of common stock of the issuer. F1 · balance_after: The performance stock units (PSUs) vest on August 31, 2024 based on the market capitalization of the issuer, which will be tested annually over three years beginning August 31, 2022 and are subject to the continuous service of the reporting person with the issuer. The number of PSUs listed is the maximum number of PSUs that may vest. The actual number of PSUs that will vest will be between zero and maximum number of PSUs, depending on the milestones achieved. Each PSU represents a contingent right to receive one share of common stock of the issuer. Read SEC document |
| June 09, 2020 Filed Jun 11, 2020 20:55 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantCOMMON STOCK | 25,748 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-036168 · doc4.xml · nonDerivative · entry 1 O'Dowd Hugh · CIK 0001741171 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,748 F1 · shares: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer. Read SEC document |
| May 06, 2020 Filed May 6, 2020 21:05 UTC | Neon Therapeutics, Inc. NTGN · Entity 149433 | Disposition to issuerStock Option (Right to Buy) · Derivative | 354,632 | Not disclosed Strike: $2.65 | Not disclosed |
DisclosureSEC source: 0001694187-20-000062 · wf-form4_158881352702970.xml · derivative · entry 4 O'Dowd Hugh · CIK 0001741171 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 354,632 shares Expires not disclosed F3 · price: Pursuant to the Merger Agreement, at the Effective Time, each option which was outstanding immediately prior to the Effective Time (whether or not then vested or exercisable) was cancelled and converted automatically into the right to receive, as soon as reasonably practicable after the Effective Time (but no later than ten business days thereafter), a cash payment in an amount equal to the product of (i) the total number of Shares subject to such option immediately prior to such cancellation and (ii) the excess, if any, of the Cash Merger Consideration over the exercise price per Share subject to such option immediately prior to such cancellation. F3 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each option which was outstanding immediately prior to the Effective Time (whether or not then vested or exercisable) was cancelled and converted automatically into the right to receive, as soon as reasonably practicable after the Effective Time (but no later than ten business days thereafter), a cash payment in an amount equal to the product of (i) the total number of Shares subject to such option immediately prior to such cancellation and (ii) the excess, if any, of the Cash Merger Consideration over the exercise price per Share subject to such option immediately prior to such cancellation. F3 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each option which was outstanding immediately prior to the Effective Time (whether or not then vested or exercisable) was cancelled and converted automatically into the right to receive, as soon as reasonably practicable after the Effective Time (but no later than ten business days thereafter), a cash payment in an amount equal to the product of (i) the total number of Shares subject to such option immediately prior to such cancellation and (ii) the excess, if any, of the Cash Merger Consideration over the exercise price per Share subject to such option immediately prior to such cancellation. Read SEC document |
| May 06, 2020 Filed May 6, 2020 21:05 UTC | Neon Therapeutics, Inc. NTGN · Entity 149433 | Disposition to issuerStock Option (Right to Buy) · Derivative | 200,000 | Not disclosed Strike: $6.13 | Not disclosed |
DisclosureSEC source: 0001694187-20-000062 · wf-form4_158881352702970.xml · derivative · entry 3 O'Dowd Hugh · CIK 0001741171 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 200,000 shares Expires not disclosed F2 · price: Pursuant to the Merger Agreement, at the Effective Time, these options were cancelled for no consideration because these options had an exercise price per Share that was equal to or greater than the product of the volume weighted average price of one BioNTech ADS for the ten trading days immediately prior to the second business day prior to the day of the closing of the Merger, starting with the opening of trading on the first trading day to the closing of the second to last trading day prior to the day of the closing of the Merger, as reported by Bloomberg, multiplied by the Exchange Ratio (the "Cash Merger Consideration"). F2 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, these options were cancelled for no consideration because these options had an exercise price per Share that was equal to or greater than the product of the volume weighted average price of one BioNTech ADS for the ten trading days immediately prior to the second business day prior to the day of the closing of the Merger, starting with the opening of trading on the first trading day to the closing of the second to last trading day prior to the day of the closing of the Merger, as reported by Bloomberg, multiplied by the Exchange Ratio (the "Cash Merger Consideration"). F2 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, these options were cancelled for no consideration because these options had an exercise price per Share that was equal to or greater than the product of the volume weighted average price of one BioNTech ADS for the ten trading days immediately prior to the second business day prior to the day of the closing of the Merger, starting with the opening of trading on the first trading day to the closing of the second to last trading day prior to the day of the closing of the Merger, as reported by Bloomberg, multiplied by the Exchange Ratio (the "Cash Merger Consideration"). Read SEC document |
| May 06, 2020 Filed May 6, 2020 21:05 UTC | Neon Therapeutics, Inc. NTGN · Entity 149433 | Disposition to issuerStock Option (Right to Buy) · Derivative | 208,062 | Not disclosed Strike: $10.20 | Not disclosed |
DisclosureSEC source: 0001694187-20-000062 · wf-form4_158881352702970.xml · derivative · entry 2 O'Dowd Hugh · CIK 0001741171 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 208,062 shares Expires not disclosed F2 · price: Pursuant to the Merger Agreement, at the Effective Time, these options were cancelled for no consideration because these options had an exercise price per Share that was equal to or greater than the product of the volume weighted average price of one BioNTech ADS for the ten trading days immediately prior to the second business day prior to the day of the closing of the Merger, starting with the opening of trading on the first trading day to the closing of the second to last trading day prior to the day of the closing of the Merger, as reported by Bloomberg, multiplied by the Exchange Ratio (the "Cash Merger Consideration"). F2 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, these options were cancelled for no consideration because these options had an exercise price per Share that was equal to or greater than the product of the volume weighted average price of one BioNTech ADS for the ten trading days immediately prior to the second business day prior to the day of the closing of the Merger, starting with the opening of trading on the first trading day to the closing of the second to last trading day prior to the day of the closing of the Merger, as reported by Bloomberg, multiplied by the Exchange Ratio (the "Cash Merger Consideration"). F2 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, these options were cancelled for no consideration because these options had an exercise price per Share that was equal to or greater than the product of the volume weighted average price of one BioNTech ADS for the ten trading days immediately prior to the second business day prior to the day of the closing of the Merger, starting with the opening of trading on the first trading day to the closing of the second to last trading day prior to the day of the closing of the Merger, as reported by Bloomberg, multiplied by the Exchange Ratio (the "Cash Merger Consideration"). Read SEC document |
| May 06, 2020 Filed May 6, 2020 21:05 UTC | Neon Therapeutics, Inc. NTGN · Entity 149433 | Disposition to issuerCommon Stock | 776,085 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001694187-20-000062 · wf-form4_158881352702970.xml · nonDerivative · entry 1 O'Dowd Hugh · CIK 0001741171 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: 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 15, 2020, by and among the Issuer, BioNTech SE ("BioNTech"), and Endor Lights, Inc. a direct wholly owned subsidiary of BioNTech ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger") effective as of May 6, 2020 (the "Effective Time"). Immediately prior to the Effective Time, each issued and outstanding share of common stock of the Issuer (each, a "Share") was cancelled and converted into the right to receive 0.063 (the "Exchange Ratio") of American Depositary Shares of BioNTech ("BioNTech ADS") plus the right, if any, to receive cash in lieu of fractional shares of BioNTech ADSs into which such Shares would have been converted. This number includes 306,667 restricted stock units (each, an "RSU") held by the Reporting Person. F1 · price: 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 15, 2020, by and among the Issuer, BioNTech SE ("BioNTech"), and Endor Lights, Inc. a direct wholly owned subsidiary of BioNTech ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger") effective as of May 6, 2020 (the "Effective Time"). Immediately prior to the Effective Time, each issued and outstanding share of common stock of the Issuer (each, a "Share") was cancelled and converted into the right to receive 0.063 (the "Exchange Ratio") of American Depositary Shares of BioNTech ("BioNTech ADS") plus the right, if any, to receive cash in lieu of fractional shares of BioNTech ADSs into which such Shares would have been converted. This number includes 306,667 restricted stock units (each, an "RSU") held by the Reporting Person. Read SEC document |
| February 29, 2020 Filed Mar 2, 2020 18:38 UTC | Neon Therapeutics, Inc. NTGN · Entity 149433 | Tax withholdingCommon Stock | 9,783 | $1.50 | $14,674.50 |
DisclosureSEC source: 0001694187-20-000027 · wf-form4_158319230327755.xml · nonDerivative · entry 1 O'Dowd Hugh · CIK 0001741171 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 776,085 F1 · shares: These shares represent shares withheld to satisfy tax obligations arising from the vesting of restricted stock units awarded to the reporting person on February 27, 2019 and do not represent a discretionary trade by the reporting person. The number of shares to be withheld was determinable on February 29, 2020. Read SEC document |
| January 12, 2020 Filed Jan 13, 2020 17:20 UTC | Neon Therapeutics, Inc. NTGN · Entity 149433 | GrantCommon Stock | 240,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001694187-20-000007 · wf-form4_157895402278621.xml · nonDerivative · entry 1 O'Dowd Hugh · CIK 0001741171 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 785,868 F1 · shares: Mr. O'Dowd was awarded 240,000 Restricted Stock Units. Each Restricted Stock Unit represents a contingent right to receive one share of Common Stock. The Restricted Stock Units shall vest annually over three years, with one-third vesting on January 31, 2021 and the balance vesting in two equal annual installments thereafter, subject to the Reporting Person's continued service. The Restricted Stock Units may be settled only by delivering shares of Common Stock, and thus, the grant is being reported in Table 1 as allowed per SEC guidance. Read SEC document |
| October 15, 2019 Filed Oct 17, 2019 17:01 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantStock Option (Right to Buy) · Derivative | 85,201 | $0.00 Strike: $6.79 | $0.00 |
DisclosureSEC source: 0001209191-19-053442 · doc4.xml · derivative · entry 1 O'Dowd Hugh · CIK 0001741171 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,201 Underlying: Common Stock · 85,201 shares Expires 2029-10-14 F1 · derivative.exercise_date: The vesting commencement date ("Vesting Commencement Date") of the option is October 15, 2019. The option vests (i) with respect to one-third (1/3) of the shares underlying the option on the first anniversary of the Vesting Commencement Date and (ii) with respect to 1/36th of the shares underlying the option, on each monthly anniversary of the Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date. Read SEC document |
| February 27, 2019 Filed Mar 1, 2019 18:18 UTC | Neon Therapeutics, Inc. NTGN · Entity 149433 | GrantStock Option (Right to Buy) · Derivative | 200,000 | $0.00 Strike: $6.13 | $0.00 |
DisclosureSEC source: 0001694187-19-000012 · wf-form4_155148231316587.xml · derivative · entry 2 O'Dowd Hugh · CIK 0001741171 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2029-02-26 F2 · derivative.exercise_date: This option shall vest and become exercisable in equal monthly installments over four years commencing on February 27, 2019. Read SEC document |
| February 27, 2019 Filed Mar 1, 2019 18:18 UTC | Neon Therapeutics, Inc. NTGN · Entity 149433 | GrantCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001694187-19-000012 · wf-form4_155148231316587.xml · nonDerivative · entry 1 O'Dowd Hugh · CIK 0001741171 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 545,868 F1 · shares: Mr. O'Dowd was awarded 100,000 Restricted Stock Units. Each Restricted Stock Unit represents a contingent right to receive one share of Common Stock. The Restricted Stock Units shall vest annually over three years, with one-third vesting on the last day of February 2020 and the balance vesting in two equal annual installments thereafter, subject to the Reporting Person's continued service. The Restricted Stock Units may be settled only by delivering shares of Common Stock, and thus, the grant is being reported in Table 1 as allowed per SEC guidance. Read SEC document |
| August 20, 2018 Filed Aug 22, 2018 16:18 UTC | Neon Therapeutics, Inc. NTGN · Entity 149433 | Exercise / conversionStock Option (Right to Buy) · Derivative | 18,868 | $0.00 Strike: $2.65 | $0.00 |
DisclosureSEC source: 0001104659-18-053206 · a4.xml · derivative · entry 2 O'Dowd Hugh · CIK 0001741171 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 314,607 Underlying: Common Stock · 18,868 shares Expires not disclosed 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 · derivative.exercise_date: 25% of the shares vested on September 23, 2017, with the remainder vesting over 36 equal monthly installments thereafter. F1 · derivative.expiration_date: 25% of the shares vested on September 23, 2017, with the remainder vesting over 36 equal monthly installments thereafter. Read SEC document |
| August 20, 2018 Filed Aug 22, 2018 16:18 UTC | Neon Therapeutics, Inc. NTGN · Entity 149433 | Exercise / conversionCommon Stock | 18,868 | $2.65 | $50,000.20 |
DisclosureSEC source: 0001104659-18-053206 · a4.xml · nonDerivative · entry 1 O'Dowd Hugh · CIK 0001741171 · Director · President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 445,868 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.