Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CASI Pharmaceuticals, Inc.CASI · Entity 123920 | COO, Gen Counsel & Secretary | January 29, 2019 | January 31, 2019 |
| Decibel Therapeutics, Inc.DBTX · Entity 109458 | General Counsel | August 16, 2021 | August 18, 2021 |
| Definium Therapeutics, Inc.MNMD · Entity 3884 | Chief Legal Officer&Secretary | March 24, 2022 | March 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.
CASI Pharmaceuticals, Inc.
Report date January 29, 2019 · Filed January 31, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.88 · Expires 2026-03-02 | Direct | 75,000 |
Reported balance
After 2019-01-29 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-01-29 · Grant · Acquired 75,000 · Balance 75,000 F1: On March 2, 2016, the reporting person was granted an option to purchase shares of common stock that would vest upon achievement of certain performance based conditions. On January 29, 2019, the Compensation Committee certified that the performance based condition relating to the vesting of 75,000 options had been satisfied on October 18, 2018, resulting in vesting of the options. |
Filing footnotes · ownership attribution and instrument terms
F1: On March 2, 2016, the reporting person was granted an option to purchase shares of common stock that would vest upon achievement of certain performance based conditions. On January 29, 2019, the Compensation Committee certified that the performance based condition relating to the vesting of 75,000 options had been satisfied on October 18, 2018, resulting in vesting of the options.
Decibel Therapeutics, Inc.
Report date August 16, 2021 · Filed August 18, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.37 · Expires 2031-08-15 | Direct | 150,000 |
Reported balance
After 2021-08-16 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-08-16 · Grant · Acquired 150,000 · Balance 150,000 F1: The option was granted on August 16, 2021. The shares underlying the option are scheduled to vest with respect to 25% of the shares on the first anniversary of the grant date and as to the balance of such shares in 36 equal month installments thereafter until the fourth anniversary of the grant date, subject to the reporting person's continued service. |
Filing footnotes · ownership attribution and instrument terms
F1: The option was granted on August 16, 2021. The shares underlying the option are scheduled to vest with respect to 25% of the shares on the first anniversary of the grant date and as to the balance of such shares in 36 equal month installments thereafter until the fourth anniversary of the grant date, subject to the reporting person's continued service.
Definium Therapeutics, Inc.
Report date March 24, 2022 · Filed March 29, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Subordinate Voting SharesSEC Table I · non-derivative | Direct | 1,200,000 |
Reported balance
After 2022-03-24 transaction · row 1
1 source rowRow 1 · 2022-03-24 · Grant · Acquired 1,200,000 · Balance 1,200,000 F1: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one subordinate voting share of the Issuer. Of these RSUs, 25% shall vest on December 6, 2022, with 1/48th vesting at the end of each month thereafter for the succeeding 36 months, subject, to the Reporting Person providing continuous service to the Issuer on each such vesting date. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.18 · Expires 2027-03-23 | Direct | 1,560,000 |
Reported balance
After 2022-03-24 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-03-24 · Grant · Acquired 1,560,000 · Balance 1,560,000 F2: The option grant has an exercise price of $1.48 Canadian Dollars. This represents the exercise price in United States Dollars. F3: 25% of the shares underlying the option shall vest and become exercisable on December 6, 2022; the remaining shares underlying the option shall vest and become exercisable with 1/48th of the total shares vesting at the end of each month thereafter for the succeeding 36 months, subject to the Reporting Person providing continuous service to the Issuer on each such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one subordinate voting share of the Issuer. Of these RSUs, 25% shall vest on December 6, 2022, with 1/48th vesting at the end of each month thereafter for the succeeding 36 months, subject, to the Reporting Person providing continuous service to the Issuer on each such vesting date.
F2: The option grant has an exercise price of $1.48 Canadian Dollars. This represents the exercise price in United States Dollars.
F3: 25% of the shares underlying the option shall vest and become exercisable on December 6, 2022; the remaining shares underlying the option shall vest and become exercisable with 1/48th of the total shares vesting at the end of each month thereafter for the succeeding 36 months, subject to the Reporting Person providing continuous service to the Issuer on each such vesting 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 |
|---|---|---|---|---|---|---|
| March 24, 2022 Filed Mar 29, 2022 00:30 UTC | Definium Therapeutics, Inc. MNMD · Entity 3884 | GrantStock Option (Right to Buy) · Derivative | 1,560,000 | $0.00 Strike: $1.18 | $0.00 |
DisclosureSEC source: 0001209191-22-021393 · doc4.xml · derivative · entry 2 Hu Cynthia W. · CIK 0001364709 · Chief Legal Officer&Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,560,000 Underlying: Subordinate Voting Shares · 1,560,000 shares Expires 2027-03-23 F2 · derivative.exercise_price: The option grant has an exercise price of $1.48 Canadian Dollars. This represents the exercise price in United States Dollars. F3 · derivative.exercise_date: 25% of the shares underlying the option shall vest and become exercisable on December 6, 2022; the remaining shares underlying the option shall vest and become exercisable with 1/48th of the total shares vesting at the end of each month thereafter for the succeeding 36 months, subject to the Reporting Person providing continuous service to the Issuer on each such vesting date. Read SEC document |
| March 24, 2022 Filed Mar 29, 2022 00:30 UTC | Definium Therapeutics, Inc. MNMD · Entity 3884 | GrantSubordinate Voting Shares | 1,200,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-021393 · doc4.xml · nonDerivative · entry 1 Hu Cynthia W. · CIK 0001364709 · Chief Legal Officer&Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,200,000 F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one subordinate voting share of the Issuer. Of these RSUs, 25% shall vest on December 6, 2022, with 1/48th vesting at the end of each month thereafter for the succeeding 36 months, subject, to the Reporting Person providing continuous service to the Issuer on each such vesting date. Read SEC document |
| August 16, 2021 Filed Aug 18, 2021 16:55 UTC | Decibel Therapeutics, Inc. DBTX · Entity 109458 | GrantStock Option (right to buy) · Derivative | 150,000 | $0.00 Strike: $7.37 | $0.00 |
DisclosureSEC source: 0000899243-21-033466 · doc4.xml · derivative · entry 1 Hu Cynthia W. · CIK 0001364709 · General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2031-08-15 F1 · derivative.exercise_date: The option was granted on August 16, 2021. The shares underlying the option are scheduled to vest with respect to 25% of the shares on the first anniversary of the grant date and as to the balance of such shares in 36 equal month installments thereafter until the fourth anniversary of the grant date, subject to the reporting person's continued service. Read SEC document |
| January 29, 2019 Filed Jan 31, 2019 19:19 UTC | CASI Pharmaceuticals, Inc. CASI · Entity 123920 | GrantStock Options (Right to Buy) · Derivative | 75,000 | $0.00 Strike: $0.88 | $0.00 |
DisclosureSEC source: 0001144204-19-004170 · tv512145_4.xml · derivative · entry 1 Hu Cynthia W. · CIK 0001364709 · COO, Gen Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2026-03-02 F1 · date: On March 2, 2016, the reporting person was granted an option to purchase shares of common stock that would vest upon achievement of certain performance based conditions. On January 29, 2019, the Compensation Committee certified that the performance based condition relating to the vesting of 75,000 options had been satisfied on October 18, 2018, resulting in vesting of the options. Read SEC document |
| January 14, 2019 Filed Jan 15, 2019 16:02 UTC | CASI Pharmaceuticals, Inc. CASI · Entity 123920 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $1.76 | $0.00 |
DisclosureSEC source: 0001144204-19-001739 · tv511069_4.xml · derivative · entry 4 Hu Cynthia W. · CIK 0001364709 · COO, Gen Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires 2019-01-27 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: The stock options vested as follows: 25% on the date of grant, and an additional 25% on each successive anniversary of the grant date until the option is fully vested. Read SEC document |
| January 14, 2019 Filed Jan 15, 2019 16:02 UTC | CASI Pharmaceuticals, Inc. CASI · Entity 123920 | Tax withholdingCommon Stock | 3,100 | $3.79 | $11,749.00 |
DisclosureSEC source: 0001144204-19-001739 · tv511069_4.xml · nonDerivative · entry 2 Hu Cynthia W. · CIK 0001364709 · COO, Gen Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,685 Read SEC document |
| January 14, 2019 Filed Jan 15, 2019 16:02 UTC | CASI Pharmaceuticals, Inc. CASI · Entity 123920 | Exercise / conversionCommon Stock | 15,000 | $1.76 | $26,400.00 |
DisclosureSEC source: 0001144204-19-001739 · tv511069_4.xml · nonDerivative · entry 1 Hu Cynthia W. · CIK 0001364709 · COO, Gen Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,785 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 |
| September 29, 2017 Filed Oct 3, 2017 18:49 UTC | CASI Pharmaceuticals, Inc. CASI · Entity 123920 | GrantStock Options (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $1.99 | $0.00 |
DisclosureSEC source: 0001144204-17-051253 · v476424_4.xml · derivative · entry 1 Hu Cynthia W. · CIK 0001364709 · COO, Gen Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2022-08-15 F1 · derivative.exercise_date: On August 15, 2012, the reporting person was granted an option to purchase 50,000 shares of common stock, which vested upon the achievement of a performance condition on September 29, 2017. Read SEC document |
| July 10, 2017 Filed Oct 6, 2017 17:01 UTC | CASI Pharmaceuticals, Inc. CASI · Entity 123920 | GrantStock Options (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $1.01 | $0.00 |
DisclosureSEC source: 0001144204-17-051696 · v476599_4.xml · derivative · entry 1 Hu Cynthia W. · CIK 0001364709 · COO, Gen Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2027-06-08 F1 · derivative.exercise_date: On June 8, 2017, the reporting person was granted an option to purchase 50,000 shares of common stock, which vested upon the achievement of a performance condition on July 10, 2017. Read SEC document |
| June 08, 2017 Filed Jun 9, 2017 17:03 UTC | CASI Pharmaceuticals, Inc. CASI · Entity 123920 | GrantStock Options (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $1.01 | $0.00 |
DisclosureSEC source: 0001144204-17-031975 · v468780_4.xml · derivative · entry 1 Hu Cynthia W. · CIK 0001364709 · COO, Gen Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2027-06-08 F1 · derivative.exercise_date: The stock options vest as follows: 25% on the date of grant, and the remainder ratably over three years on a monthly basis. 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.