person · Reporting owner
O'Brien James Michael
Disclosed activity across 2 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| COGNITION THERAPEUTICS INCCGTX · Entity 6792 | Chief Financial Officer | March 23, 2022 | March 25, 2022 |
| ENZO BIOCHEM INCENZ · Entity 76314 | EVP of Finance | January 03, 2019 | January 04, 2019 |
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.
COGNITION THERAPEUTICS INC
Report date March 23, 2022 · Filed March 25, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.05 · Expires 2032-03-23 | Direct | 50,000 |
Reported balance
After 2022-03-23 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-03-23 · Grant · Acquired 50,000 · Balance 50,000 F1: The option vests 25% on March 23, 2023, with the remaining 75% vesting in 36 equal monthly installments, subject to the Reporting Person's continued service with the Issuer on such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests 25% on March 23, 2023, with the remaining 75% vesting in 36 equal monthly installments, subject to the Reporting Person's continued service with the Issuer on such vesting date.
ENZO BIOCHEM INC
Report date January 03, 2019 · Filed January 04, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (to acquire common stock)SEC Table II · derivative / convertible security · Conversion / exercise price $2.80 · Expires 2024-01-02 | Direct | 33,666 |
Reported balance
After 2019-01-03 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-01-03 · Grant · Acquired 52,000 · Balance 33,666 F1: The Reporting Person was granted 52,000 stock options. The options have a five-year term and shall vest in three equal annual tranches, beginning January 4, 2020. F2: Does not include 10,500 Restricted Stock Units granted to the Reporting Person on January 3, 2019, which will vest, if at all, based upon (i) achievement of average revenue growth and adjusted EBITDA growth goals on January 3, 2022, and (ii) the continued service of the Reporting Person through January 3, 2022. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person was granted 52,000 stock options. The options have a five-year term and shall vest in three equal annual tranches, beginning January 4, 2020.
F2: Does not include 10,500 Restricted Stock Units granted to the Reporting Person on January 3, 2019, which will vest, if at all, based upon (i) achievement of average revenue growth and adjusted EBITDA growth goals on January 3, 2022, and (ii) the continued service of the Reporting Person through January 3, 2022.
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 23, 2022 Filed Mar 25, 2022 23:00 UTC | COGNITION THERAPEUTICS INC CGTX · Entity 6792 | GrantStock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $3.05 | $0.00 |
DisclosureSEC source: 0001062993-22-008679 · form4.xml · derivative · entry 1 O'Brien James Michael · CIK 0001632111 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2032-03-23 F1 · derivative.exercise_date: The option vests 25% on March 23, 2023, with the remaining 75% vesting in 36 equal monthly installments, subject to the Reporting Person's continued service with the Issuer on such vesting date. Read SEC document |
| October 13, 2021 Filed Oct 15, 2021 01:46 UTC | COGNITION THERAPEUTICS INC CGTX · Entity 6792 | PurchaseCommon Stock | 5,000 | $12.00 | $60,000.00 |
DisclosureSEC source: 0001104659-21-126361 · tm2130061-2_4seq1.xml · nonDerivative · entry 1 O'Brien James Michael · CIK 0001632111 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Read SEC document |
| October 07, 2021 Filed Oct 13, 2021 00:40 UTC | COGNITION THERAPEUTICS INC CGTX · Entity 6792 | GrantStock Option (right to buy) · Derivative | 54,457 | $0.00 Strike: $12.00 | $0.00 |
DisclosureSEC source: 0001882178-21-000027 · edgar.xml · derivative · entry 1 O'Brien James Michael · CIK 0001632111 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,457 Underlying: Common Stock · 54,457 shares Expires 2031-10-07 F1 · derivative.exercise_date: 25% of the shares of common stock underlying the option vest on the first anniversary of the closing of the issuer's initial public offering. The remaining shares underlying the option vest in equal monthly installments thereafter for thirty-six (36) months, on the last day of each such month. Read SEC document |
| January 03, 2019 Filed Jan 4, 2019 17:02 UTC | ENZO BIOCHEM INC ENZ · Entity 76314 | GrantStock Option (to acquire common stock) · Derivative | 52,000 | $0.00 Strike: $2.80 | $0.00 |
DisclosureSEC source: 0000930413-19-000024 · ownership.xml · derivative · entry 1 O'Brien James Michael · CIK 0001632111 · EVP of Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,666 Underlying: Common Stock · 52,000 shares Expires 2024-01-02 F1 · derivative.exercise_date: The Reporting Person was granted 52,000 stock options. The options have a five-year term and shall vest in three equal annual tranches, beginning January 4, 2020. F2 · balance_after: Does not include 10,500 Restricted Stock Units granted to the Reporting Person on January 3, 2019, which will vest, if at all, based upon (i) achievement of average revenue growth and adjusted EBITDA growth goals on January 3, 2022, and (ii) the continued service of the Reporting Person through January 3, 2022. Read SEC document |
| July 31, 2018 Filed Aug 2, 2018 19:06 UTC | ENZO BIOCHEM INC ENZ · Entity 76314 | GrantStock Option (to acquire common stock) · Derivative | 35,000 | $0.00 Strike: $4.42 | $0.00 |
DisclosureSEC source: 0000930413-18-002502 · c91792_4.xml · derivative · entry 1 O'Brien James Michael · CIK 0001632111 · EVP of Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,666 Underlying: Common Stock · 35,000 shares Expires 2023-07-31 F1 · derivative.exercise_date: The Reporting Person was granted 35,000 stock options. The options have a five-year term and shall vest in three equal annual tranches, beginning August 1, 2019. F2 · balance_after: Does not include 4,000 Performance Stock Units granted to the Reporting Person on July 31, 2018, which will vest, if at all, based upon (i) achievement of average revenue growth and adjusted EBITDA growth goals on July 31, 2021, and (ii) the continued service of the Reporting Person through July 31, 2021. Read SEC document |
| October 27, 2017 Filed Oct 30, 2017 21:18 UTC | ENZO BIOCHEM INC ENZ · Entity 76314 | Exercise / conversionStock Option (to acquire common stock) · Derivative | 8,667 | $4.35 Strike: $4.35 | $37,701.45 |
DisclosureSEC source: 0000930413-17-003670 · c89632_4.xml · derivative · entry 9 O'Brien James Michael · CIK 0001632111 · EVP of Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,334 Underlying: Common Stock · 8,667 shares Expires 2021-03-15 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 |
| October 27, 2017 Filed Oct 30, 2017 21:18 UTC | ENZO BIOCHEM INC ENZ · Entity 76314 | Exercise / conversionStock Option (to acquire common stock) · Derivative | 7,500 | $3.40 Strike: $3.40 | $25,500.00 |
DisclosureSEC source: 0000930413-17-003670 · c89632_4.xml · derivative · entry 8 O'Brien James Michael · CIK 0001632111 · EVP of Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,001 Underlying: Common Stock · 7,500 shares Expires 2020-01-21 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 |
| October 27, 2017 Filed Oct 30, 2017 21:18 UTC | ENZO BIOCHEM INC ENZ · Entity 76314 | Exercise / conversionStock Option (to acquire common stock) · Derivative | 6,699 | $2.75 Strike: $2.75 | $18,422.25 |
DisclosureSEC source: 0000930413-17-003670 · c89632_4.xml · derivative · entry 7 O'Brien James Michael · CIK 0001632111 · EVP of Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,501 Underlying: Common Stock · 6,699 shares Expires 2019-02-03 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 |
| October 27, 2017 Filed Oct 30, 2017 21:18 UTC | ENZO BIOCHEM INC ENZ · Entity 76314 | SaleCommon Stock | 8,667 | $10.28 | $89,096.76 |
DisclosureSEC source: 0000930413-17-003670 · c89632_4.xml · nonDerivative · entry 6 O'Brien James Michael · CIK 0001632111 · EVP of Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,187 F1 · price: The sale price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.20 to $10.40, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| October 27, 2017 Filed Oct 30, 2017 21:18 UTC | ENZO BIOCHEM INC ENZ · Entity 76314 | SaleCommon Stock | 7,500 | $10.28 | $77,100.00 |
DisclosureSEC source: 0000930413-17-003670 · c89632_4.xml · nonDerivative · entry 5 O'Brien James Michael · CIK 0001632111 · EVP of Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,854 F1 · price: The sale price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.20 to $10.40, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| October 27, 2017 Filed Oct 30, 2017 21:18 UTC | ENZO BIOCHEM INC ENZ · Entity 76314 | SaleCommon Stock | 6,699 | $10.28 | $68,865.72 |
DisclosureSEC source: 0000930413-17-003670 · c89632_4.xml · nonDerivative · entry 4 O'Brien James Michael · CIK 0001632111 · EVP of Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,354 F1 · price: The sale price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.20 to $10.40, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| October 27, 2017 Filed Oct 30, 2017 21:18 UTC | ENZO BIOCHEM INC ENZ · Entity 76314 | Exercise / conversionCommon Stock | 8,667 | $4.35 | $37,701.45 |
DisclosureSEC source: 0000930413-17-003670 · c89632_4.xml · nonDerivative · entry 3 O'Brien James Michael · CIK 0001632111 · EVP of Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,053 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 |
| October 27, 2017 Filed Oct 30, 2017 21:18 UTC | ENZO BIOCHEM INC ENZ · Entity 76314 | Exercise / conversionCommon Stock | 7,500 | $3.40 | $25,500.00 |
DisclosureSEC source: 0000930413-17-003670 · c89632_4.xml · nonDerivative · entry 2 O'Brien James Michael · CIK 0001632111 · EVP of Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,386 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 |
| October 27, 2017 Filed Oct 30, 2017 21:18 UTC | ENZO BIOCHEM INC ENZ · Entity 76314 | Exercise / conversionCommon Stock | 6,699 | $2.75 | $18,422.25 |
DisclosureSEC source: 0000930413-17-003670 · c89632_4.xml · nonDerivative · entry 1 O'Brien James Michael · CIK 0001632111 · EVP of Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,886 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 |
| June 13, 2017 Filed Jun 15, 2017 17:10 UTC | ENZO BIOCHEM INC ENZ · Entity 76314 | Exercise / conversionStock Option (to acquire common stock) · Derivative | 2,500 | $3.40 Strike: $3.40 | $8,500.00 |
DisclosureSEC source: 0001144204-17-032755 · v469092_4.xml · derivative · entry 4 O'Brien James Michael · CIK 0001632111 · EVP of Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,200 Underlying: Common Stock · 2,500 shares Expires 2020-01-20 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 |
| June 13, 2017 Filed Jun 15, 2017 17:10 UTC | ENZO BIOCHEM INC ENZ · Entity 76314 | Exercise / conversionStock Option (to acquire common stock) · Derivative | 13,300 | $2.75 Strike: $2.75 | $36,575.00 |
DisclosureSEC source: 0001144204-17-032755 · v469092_4.xml · derivative · entry 3 O'Brien James Michael · CIK 0001632111 · EVP of Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,700 Underlying: Common Stock · 13,300 shares Expires 2019-02-02 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 |
| June 13, 2017 Filed Jun 15, 2017 17:10 UTC | ENZO BIOCHEM INC ENZ · Entity 76314 | SaleCommon Stock | 2,500 | $10.13 | $25,325.00 |
DisclosureSEC source: 0001144204-17-032755 · v469092_4.xml · nonDerivative · entry 2 O'Brien James Michael · CIK 0001632111 · EVP of Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,800 Read SEC document |
| June 13, 2017 Filed Jun 15, 2017 17:10 UTC | ENZO BIOCHEM INC ENZ · Entity 76314 | SaleCommon Stock | 13,300 | $10.13 | $134,729.00 |
DisclosureSEC source: 0001144204-17-032755 · v469092_4.xml · nonDerivative · entry 1 O'Brien James Michael · CIK 0001632111 · EVP of Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,300 Read SEC document |
| January 05, 2017 Filed Jan 10, 2017 16:55 UTC | ENZO BIOCHEM INC ENZ · Entity 76314 | GrantStock Option (to acquire common stock) · Derivative | 30,000 | $0.00 Strike: $7.07 | $0.00 |
DisclosureSEC source: 0000914760-17-000008 · formfour.xml · derivative · entry 1 O'Brien James Michael · CIK 0001632111 · EVP of Finance 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,000 Underlying: Common Stock · 30,000 shares Expires 2022-01-04 F1 · derivative.exercise_date: The Reporting Person was granted 30,000 stock options. The options have a five-year term and shall vest in three equal annual tranches, begininning January 6, 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.