Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Nuo Therapeutics, Inc.AURX · Entity 7149 | Director | December 31, 2018 | January 03, 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.
Nuo Therapeutics, Inc.
Report date December 31, 2018 · Filed January 03, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.40 · Expires 2025-12-31 | Direct | 62,500 |
Reported balance
After 2018-12-31 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-12-31 · Grant · Acquired 62,500 · Balance 62,500 F1: The Reporting Person, a partner at Deerfield Management Company, L.P., has no pecuniary interest in the securities reported herein and disclaims beneficial ownership of such securities. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person, a partner at Deerfield Management Company, L.P., has no pecuniary interest in the securities reported herein and disclaims beneficial ownership of such securities.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
CareMax, Inc.
Report date February 11, 2022 · Filed February 15, 2022
Jointly reported with DFHTA Sponsor LLC
Section 16 reporting ended · disclosed 2022-02-15. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A common stockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2022-02-11 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2022-02-11 · Other · Disposed 3,768,750 · Balance 0 F1: On February 11, 2022, DFHTA Sponsor LLC (the "Sponsor") distributed 3,768,750 shares of the Issuer's Class A common stock and 2,916,667 Private Placement Warrants to its members, on a pro rata basis for no consideration, in connection with the dissolution of the Sponsor. F2: The Sponsor was the record holder of the securities reported herein. Mr. Atinsky is a manager of the Sponsor and shared voting and investment discretion with respect to the common stock held of record by the Sponsor. Mr. Atinsky disclaims beneficial ownership of the securities held by the Sponsor except to the extent of his pecuniary interest therein, if any. |
| Private Placement WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2026-06-08 | Direct | 0 |
Reported balance
After 2022-02-11 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-02-11 · Other · Disposed 2,916,667 · Balance 0 F1: On February 11, 2022, DFHTA Sponsor LLC (the "Sponsor") distributed 3,768,750 shares of the Issuer's Class A common stock and 2,916,667 Private Placement Warrants to its members, on a pro rata basis for no consideration, in connection with the dissolution of the Sponsor. F2: The Sponsor was the record holder of the securities reported herein. Mr. Atinsky is a manager of the Sponsor and shared voting and investment discretion with respect to the common stock held of record by the Sponsor. Mr. Atinsky disclaims beneficial ownership of the securities held by the Sponsor except to the extent of his pecuniary interest therein, if any. |
Filing footnotes · ownership attribution and instrument terms
F1: On February 11, 2022, DFHTA Sponsor LLC (the "Sponsor") distributed 3,768,750 shares of the Issuer's Class A common stock and 2,916,667 Private Placement Warrants to its members, on a pro rata basis for no consideration, in connection with the dissolution of the Sponsor.
F2: The Sponsor was the record holder of the securities reported herein. Mr. Atinsky is a manager of the Sponsor and shared voting and investment discretion with respect to the common stock held of record by the Sponsor. Mr. Atinsky disclaims beneficial ownership of the securities held by the Sponsor except to the extent of his pecuniary interest therein, if any.
Starling Oncology, Inc.
Report date November 12, 2021 · Filed November 16, 2021
Jointly reported with DFP Sponsor LLC, HOCHBERG STEVEN
Section 16 reporting ended · disclosed 2021-11-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 40 |
Reported balance
After 2021-11-12 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2021-11-12 · Conversion · Acquired 40 · Balance 40 F1: Upon the closing of the Issuer's initial business combination, each share of Class B Common Stock converted (automatically in accordance with its terms) into one share of Class A Common Stock for no consideration. F2: This Form 4 is being filed by DFP Sponsor, LLC (the "Sponsor"), as well as Steven Hochberg and Lawrence Atinsky, each of whom is a manager of the Sponsor. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Sponsor is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each or Steven Hochberg and Lawrence Atinsky disclaims beneficial ownership of any such securities, except to the extent of his indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that Mr. Hochberg or Mr. Atinsky is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Class B Common StockSEC Table II · derivative / convertible security | Direct | 40 |
Reported balance
After 2021-11-12 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-11-12 · Other · Disposed 707,960 · Balance 40 F4: The shares of Class B Common Stock were convertible into shares of the Issuer's Class A Common Stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-236578) and had no expiration date. F5: In connection with, and immediately prior to, the closing of the Issuer's initial business combination, pursuant to the Stockholder Support Agreement, dated as of June 28, 2021, the Sponsor forfeited 707,960 shares of Class B Common Stock for no consideration. F2: This Form 4 is being filed by DFP Sponsor, LLC (the "Sponsor"), as well as Steven Hochberg and Lawrence Atinsky, each of whom is a manager of the Sponsor. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Sponsor is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each or Steven Hochberg and Lawrence Atinsky disclaims beneficial ownership of any such securities, except to the extent of his indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that Mr. Hochberg or Mr. Atinsky is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Class B Common StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-11-12 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-11-12 · Conversion · Disposed 40 · Balance 0 F4: The shares of Class B Common Stock were convertible into shares of the Issuer's Class A Common Stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-236578) and had no expiration date. F1: Upon the closing of the Issuer's initial business combination, each share of Class B Common Stock converted (automatically in accordance with its terms) into one share of Class A Common Stock for no consideration. F2: This Form 4 is being filed by DFP Sponsor, LLC (the "Sponsor"), as well as Steven Hochberg and Lawrence Atinsky, each of whom is a manager of the Sponsor. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Sponsor is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each or Steven Hochberg and Lawrence Atinsky disclaims beneficial ownership of any such securities, except to the extent of his indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that Mr. Hochberg or Mr. Atinsky is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
| Private Placement WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2026-11-12 | Direct | 3,177,543 |
Reported balance
After 2021-11-12 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-11-12 · Other · Acquired 3,177,543 · Balance 3,177,543 F6: The Sponsor acquired the Private Placement Warrants from the Issuer in connection with the Issuer's initial public offering on March 13, 2020. As a result of the closing of the Issuer's initial business combination, the Private Placement Warrants will become exercisable as of the date that is 30 days after the closing of the Issuer's initial business combination (i.e., November 12, 2021). The Private Placement Warrants will expire on November 12, 2026 or earlier upon redemption or liquidation. Prior to the closing of the Issuer's initial business combination, the Sponsor elected to be governed by a Maximum Percentage (as defined in the Private Placement Warrants) of 4.9%. F2: This Form 4 is being filed by DFP Sponsor, LLC (the "Sponsor"), as well as Steven Hochberg and Lawrence Atinsky, each of whom is a manager of the Sponsor. F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Sponsor is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each or Steven Hochberg and Lawrence Atinsky disclaims beneficial ownership of any such securities, except to the extent of his indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that Mr. Hochberg or Mr. Atinsky is the beneficial owner of such securities for purposes of Section 16 or otherwise. |
Filing footnotes · ownership attribution and instrument terms
F1: Upon the closing of the Issuer's initial business combination, each share of Class B Common Stock converted (automatically in accordance with its terms) into one share of Class A Common Stock for no consideration.
F2: This Form 4 is being filed by DFP Sponsor, LLC (the "Sponsor"), as well as Steven Hochberg and Lawrence Atinsky, each of whom is a manager of the Sponsor.
F3: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Sponsor is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each or Steven Hochberg and Lawrence Atinsky disclaims beneficial ownership of any such securities, except to the extent of his indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that Mr. Hochberg or Mr. Atinsky is the beneficial owner of such securities for purposes of Section 16 or otherwise.
F4: The shares of Class B Common Stock were convertible into shares of the Issuer's Class A Common Stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-236578) and had no expiration date.
F5: In connection with, and immediately prior to, the closing of the Issuer's initial business combination, pursuant to the Stockholder Support Agreement, dated as of June 28, 2021, the Sponsor forfeited 707,960 shares of Class B Common Stock for no consideration.
F6: The Sponsor acquired the Private Placement Warrants from the Issuer in connection with the Issuer's initial public offering on March 13, 2020. As a result of the closing of the Issuer's initial business combination, the Private Placement Warrants will become exercisable as of the date that is 30 days after the closing of the Issuer's initial business combination (i.e., November 12, 2021). The Private Placement Warrants will expire on November 12, 2026 or earlier upon redemption or liquidation. Prior to the closing of the Issuer's initial business combination, the Sponsor elected to be governed by a Maximum Percentage (as defined in the Private Placement Warrants) of 4.9%.
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 |
|---|---|---|---|---|---|---|
| February 11, 2022 Filed Feb 15, 2022 18:23 UTC | CareMax, Inc. CMAX · Entity 87127 | OtherPrivate Placement Warrants · Derivative | 2,916,667 | $0.00 Strike: $11.50 | $0.00 |
DisclosureSEC source: 0001193805-22-000346 · e621361_4-dfhta.xml · derivative · entry 2 DFHTA Sponsor LLC · CIK 0001817569 · 10% owner Atinsky Lawrence · CIK 0001674477 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 2,916,667 shares Expires 2026-06-08 F1 · kind: On February 11, 2022, DFHTA Sponsor LLC (the "Sponsor") distributed 3,768,750 shares of the Issuer's Class A common stock and 2,916,667 Private Placement Warrants to its members, on a pro rata basis for no consideration, in connection with the dissolution of the Sponsor. F2 · ownership.direct: The Sponsor was the record holder of the securities reported herein. Mr. Atinsky is a manager of the Sponsor and shared voting and investment discretion with respect to the common stock held of record by the Sponsor. Mr. Atinsky disclaims beneficial ownership of the securities held by the Sponsor except to the extent of his pecuniary interest therein, if any. Read SEC document |
| February 11, 2022 Filed Feb 15, 2022 18:23 UTC | CareMax, Inc. CMAX · Entity 87127 | OtherClass A common stock | 3,768,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001193805-22-000346 · e621361_4-dfhta.xml · nonDerivative · entry 1 DFHTA Sponsor LLC · CIK 0001817569 · 10% owner Atinsky Lawrence · CIK 0001674477 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: On February 11, 2022, DFHTA Sponsor LLC (the "Sponsor") distributed 3,768,750 shares of the Issuer's Class A common stock and 2,916,667 Private Placement Warrants to its members, on a pro rata basis for no consideration, in connection with the dissolution of the Sponsor. F2 · ownership.direct: The Sponsor was the record holder of the securities reported herein. Mr. Atinsky is a manager of the Sponsor and shared voting and investment discretion with respect to the common stock held of record by the Sponsor. Mr. Atinsky disclaims beneficial ownership of the securities held by the Sponsor except to the extent of his pecuniary interest therein, if any. Read SEC document |
| November 12, 2021 Filed Nov 16, 2021 21:36 UTC | Starling Oncology, Inc. DFPH · Entity 5327 | OtherPrivate Placement Warrants · Derivative | 3,177,543 | Not disclosed Strike: $11.50 | Not disclosed |
DisclosureSEC source: 0001193805-21-001591 · e621087_4-dfp.xml · derivative · entry 4 DFP Sponsor LLC · CIK 0001806360 · 10% owner · Possible Members of 10% Group HOCHBERG STEVEN · CIK 0001034123 · 10% owner · Possible Members of 10% Group Atinsky Lawrence · CIK 0001674477 · 10% owner · Possible Members of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,177,543 Underlying: Class A Common Stock · 3,177,543 shares Expires 2026-11-12 F6 · kind: The Sponsor acquired the Private Placement Warrants from the Issuer in connection with the Issuer's initial public offering on March 13, 2020. As a result of the closing of the Issuer's initial business combination, the Private Placement Warrants will become exercisable as of the date that is 30 days after the closing of the Issuer's initial business combination (i.e., November 12, 2021). The Private Placement Warrants will expire on November 12, 2026 or earlier upon redemption or liquidation. Prior to the closing of the Issuer's initial business combination, the Sponsor elected to be governed by a Maximum Percentage (as defined in the Private Placement Warrants) of 4.9%. F6 · price: The Sponsor acquired the Private Placement Warrants from the Issuer in connection with the Issuer's initial public offering on March 13, 2020. As a result of the closing of the Issuer's initial business combination, the Private Placement Warrants will become exercisable as of the date that is 30 days after the closing of the Issuer's initial business combination (i.e., November 12, 2021). The Private Placement Warrants will expire on November 12, 2026 or earlier upon redemption or liquidation. Prior to the closing of the Issuer's initial business combination, the Sponsor elected to be governed by a Maximum Percentage (as defined in the Private Placement Warrants) of 4.9%. F6 · derivative.underlying_shares: The Sponsor acquired the Private Placement Warrants from the Issuer in connection with the Issuer's initial public offering on March 13, 2020. As a result of the closing of the Issuer's initial business combination, the Private Placement Warrants will become exercisable as of the date that is 30 days after the closing of the Issuer's initial business combination (i.e., November 12, 2021). The Private Placement Warrants will expire on November 12, 2026 or earlier upon redemption or liquidation. Prior to the closing of the Issuer's initial business combination, the Sponsor elected to be governed by a Maximum Percentage (as defined in the Private Placement Warrants) of 4.9%. F6 · balance_after: The Sponsor acquired the Private Placement Warrants from the Issuer in connection with the Issuer's initial public offering on March 13, 2020. As a result of the closing of the Issuer's initial business combination, the Private Placement Warrants will become exercisable as of the date that is 30 days after the closing of the Issuer's initial business combination (i.e., November 12, 2021). The Private Placement Warrants will expire on November 12, 2026 or earlier upon redemption or liquidation. Prior to the closing of the Issuer's initial business combination, the Sponsor elected to be governed by a Maximum Percentage (as defined in the Private Placement Warrants) of 4.9%. F2 · ownership.direct: This Form 4 is being filed by DFP Sponsor, LLC (the "Sponsor"), as well as Steven Hochberg and Lawrence Atinsky, each of whom is a manager of the Sponsor. F3 · ownership.direct: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Sponsor is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each or Steven Hochberg and Lawrence Atinsky disclaims beneficial ownership of any such securities, except to the extent of his indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that Mr. Hochberg or Mr. Atinsky is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| November 12, 2021 Filed Nov 16, 2021 21:36 UTC | Starling Oncology, Inc. DFPH · Entity 5327 | ConversionClass B Common Stock · Derivative | 40 | $0.00 | $0.00 |
DisclosureSEC source: 0001193805-21-001591 · e621087_4-dfp.xml · derivative · entry 3 DFP Sponsor LLC · CIK 0001806360 · 10% owner · Possible Members of 10% Group HOCHBERG STEVEN · CIK 0001034123 · 10% owner · Possible Members of 10% Group Atinsky Lawrence · CIK 0001674477 · 10% owner · Possible Members of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 40 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. F4 · derivative.exercise_price: The shares of Class B Common Stock were convertible into shares of the Issuer's Class A Common Stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-236578) and had no expiration date. F1 · kind: Upon the closing of the Issuer's initial business combination, each share of Class B Common Stock converted (automatically in accordance with its terms) into one share of Class A Common Stock for no consideration. F4 · derivative.exercise_date: The shares of Class B Common Stock were convertible into shares of the Issuer's Class A Common Stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-236578) and had no expiration date. F4 · derivative.expiration_date: The shares of Class B Common Stock were convertible into shares of the Issuer's Class A Common Stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-236578) and had no expiration date. F2 · ownership.direct: This Form 4 is being filed by DFP Sponsor, LLC (the "Sponsor"), as well as Steven Hochberg and Lawrence Atinsky, each of whom is a manager of the Sponsor. F3 · ownership.direct: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Sponsor is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each or Steven Hochberg and Lawrence Atinsky disclaims beneficial ownership of any such securities, except to the extent of his indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that Mr. Hochberg or Mr. Atinsky is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| November 12, 2021 Filed Nov 16, 2021 21:36 UTC | Starling Oncology, Inc. DFPH · Entity 5327 | OtherClass B Common Stock · Derivative | 707,960 | $0.00 | $0.00 |
DisclosureSEC source: 0001193805-21-001591 · e621087_4-dfp.xml · derivative · entry 2 DFP Sponsor LLC · CIK 0001806360 · 10% owner · Possible Members of 10% Group HOCHBERG STEVEN · CIK 0001034123 · 10% owner · Possible Members of 10% Group Atinsky Lawrence · CIK 0001674477 · 10% owner · Possible Members of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40 Underlying: Class A Common Stock · 707,960 shares Expires not disclosed F4 · derivative.exercise_price: The shares of Class B Common Stock were convertible into shares of the Issuer's Class A Common Stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-236578) and had no expiration date. F5 · kind: In connection with, and immediately prior to, the closing of the Issuer's initial business combination, pursuant to the Stockholder Support Agreement, dated as of June 28, 2021, the Sponsor forfeited 707,960 shares of Class B Common Stock for no consideration. F4 · derivative.exercise_date: The shares of Class B Common Stock were convertible into shares of the Issuer's Class A Common Stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-236578) and had no expiration date. F4 · derivative.expiration_date: The shares of Class B Common Stock were convertible into shares of the Issuer's Class A Common Stock as described under the heading "Description of Securities" in the Issuer's Registration Statement on Form S-1 (File No. 333-236578) and had no expiration date. F2 · ownership.direct: This Form 4 is being filed by DFP Sponsor, LLC (the "Sponsor"), as well as Steven Hochberg and Lawrence Atinsky, each of whom is a manager of the Sponsor. F3 · ownership.direct: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Sponsor is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each or Steven Hochberg and Lawrence Atinsky disclaims beneficial ownership of any such securities, except to the extent of his indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that Mr. Hochberg or Mr. Atinsky is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| November 12, 2021 Filed Nov 16, 2021 21:36 UTC | Starling Oncology, Inc. DFPH · Entity 5327 | ConversionClass A Common Stock | 40 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001193805-21-001591 · e621087_4-dfp.xml · nonDerivative · entry 1 DFP Sponsor LLC · CIK 0001806360 · 10% owner · Possible Members of 10% Group HOCHBERG STEVEN · CIK 0001034123 · 10% owner · Possible Members of 10% Group Atinsky Lawrence · CIK 0001674477 · 10% owner · Possible Members of 10% Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40 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 · kind: Upon the closing of the Issuer's initial business combination, each share of Class B Common Stock converted (automatically in accordance with its terms) into one share of Class A Common Stock for no consideration. F1 · price: Upon the closing of the Issuer's initial business combination, each share of Class B Common Stock converted (automatically in accordance with its terms) into one share of Class A Common Stock for no consideration. F2 · ownership.direct: This Form 4 is being filed by DFP Sponsor, LLC (the "Sponsor"), as well as Steven Hochberg and Lawrence Atinsky, each of whom is a manager of the Sponsor. F3 · ownership.direct: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Sponsor is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each or Steven Hochberg and Lawrence Atinsky disclaims beneficial ownership of any such securities, except to the extent of his indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that Mr. Hochberg or Mr. Atinsky is the beneficial owner of such securities for purposes of Section 16 or otherwise. Read SEC document |
| June 08, 2021 Filed Jun 10, 2021 17:45 UTC | CareMax, Inc. CMAX · Entity 87127 | GrantPrivate Placement Warrants · Derivative | 2,916,667 | $0.00 Strike: $11.50 | $0.00 |
DisclosureSEC source: 0001193805-21-000838 · e620696_4-dfhta.xml · derivative · entry 4 DFHTA Sponsor LLC · CIK 0001817569 · Director · 10% owner · Director by Deputization Atinsky Lawrence · CIK 0001674477 · Director · 10% owner · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,916,667 Underlying: Class A common stock · 2,916,667 shares Expires 2026-06-08 F4 · kind: DFHTA Sponsor LLC acquired the Private Placement Warrants from the Issuer in connection with the Issuer's initial public offering on July 21, 2020. As a result of the closing of the Business Combination, the Private Placement Warrants will become exercisable as of the date that is 12 months after the closing of the Issuer's initial public offering (i.e., July 21, 2021). The Private Placement Warrants will expire on June 8, 2026 or earlier upon redemption or liquidation. F2 · ownership.direct: DFHTA Sponsor LLC is the record holder of the securities reported herein. Mr. Atinsky is a manager of DFHTA Sponsor LLC and shares voting and investment discretion with respect to the common stock held of record by DFHTA Sponsor LLC. Mr. Atinsky disclaims any beneficial ownership of the securities held by DFHTA Sponsor LLC other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Steven Hochberg, a manager of DFHTA Sponsor LLC previously served as chief executive officer of the Issuer and, until immediately following consummation of the Business Combination, a member of the Issuer's board of directors. Read SEC document |
| June 08, 2021 Filed Jun 10, 2021 17:45 UTC | CareMax, Inc. CMAX · Entity 87127 | Exercise / conversionClass B common stock · Derivative | 3,368,750 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001193805-21-000838 · e620696_4-dfhta.xml · derivative · entry 3 DFHTA Sponsor LLC · CIK 0001817569 · Director · 10% owner · Director by Deputization Atinsky Lawrence · CIK 0001674477 · Director · 10% owner · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A common stock · 3,368,750 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. F3 · derivative.exercise_price: In connection with the closing of the Business Combination, each share of the Issuer's Class B common stock automatically converted into one share of the Issuer's Class A common stock. F3 · kind: In connection with the closing of the Business Combination, each share of the Issuer's Class B common stock automatically converted into one share of the Issuer's Class A common stock. F3 · price: In connection with the closing of the Business Combination, each share of the Issuer's Class B common stock automatically converted into one share of the Issuer's Class A common stock. F3 · derivative.exercise_date: In connection with the closing of the Business Combination, each share of the Issuer's Class B common stock automatically converted into one share of the Issuer's Class A common stock. F3 · derivative.expiration_date: In connection with the closing of the Business Combination, each share of the Issuer's Class B common stock automatically converted into one share of the Issuer's Class A common stock. F2 · ownership.direct: DFHTA Sponsor LLC is the record holder of the securities reported herein. Mr. Atinsky is a manager of DFHTA Sponsor LLC and shares voting and investment discretion with respect to the common stock held of record by DFHTA Sponsor LLC. Mr. Atinsky disclaims any beneficial ownership of the securities held by DFHTA Sponsor LLC other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Steven Hochberg, a manager of DFHTA Sponsor LLC previously served as chief executive officer of the Issuer and, until immediately following consummation of the Business Combination, a member of the Issuer's board of directors. Read SEC document |
| June 08, 2021 Filed Jun 10, 2021 17:45 UTC | CareMax, Inc. CMAX · Entity 87127 | Exercise / conversionClass A common stock | 3,368,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001193805-21-000838 · e620696_4-dfhta.xml · nonDerivative · entry 2 DFHTA Sponsor LLC · CIK 0001817569 · Director · 10% owner · Director by Deputization Atinsky Lawrence · CIK 0001674477 · Director · 10% owner · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,768,750 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. F3 · kind: In connection with the closing of the Business Combination, each share of the Issuer's Class B common stock automatically converted into one share of the Issuer's Class A common stock. F2 · ownership.direct: DFHTA Sponsor LLC is the record holder of the securities reported herein. Mr. Atinsky is a manager of DFHTA Sponsor LLC and shares voting and investment discretion with respect to the common stock held of record by DFHTA Sponsor LLC. Mr. Atinsky disclaims any beneficial ownership of the securities held by DFHTA Sponsor LLC other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Steven Hochberg, a manager of DFHTA Sponsor LLC previously served as chief executive officer of the Issuer and, until immediately following consummation of the Business Combination, a member of the Issuer's board of directors. Read SEC document |
| June 08, 2021 Filed Jun 10, 2021 17:45 UTC | CareMax, Inc. CMAX · Entity 87127 | GrantClass A common stock | 400,000 | $10.00 | $4,000,000.00 |
DisclosureSEC source: 0001193805-21-000838 · e620696_4-dfhta.xml · nonDerivative · entry 1 DFHTA Sponsor LLC · CIK 0001817569 · Director · 10% owner · Director by Deputization Atinsky Lawrence · CIK 0001674477 · Director · 10% owner · Director by Deputization Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400,000 F1 · kind: On June 8, 2021, immediately prior to, and conditioned upon the consummation of, CareMax, Inc.'s (formerly known as Deerfield Healthcare Technology Acquisitions Corp.) (the "Issuer") business combination with CareMax Medical Group, LLC and IMC Medical Group Holdings, LLC (the "Business Combination"), DFHTA Sponsor LLC acquired from the Issuer 400,000 shares of Class A common stock of the Issuer. F2 · ownership.direct: DFHTA Sponsor LLC is the record holder of the securities reported herein. Mr. Atinsky is a manager of DFHTA Sponsor LLC and shares voting and investment discretion with respect to the common stock held of record by DFHTA Sponsor LLC. Mr. Atinsky disclaims any beneficial ownership of the securities held by DFHTA Sponsor LLC other than to the extent of any pecuniary interest he may have therein, directly or indirectly. Steven Hochberg, a manager of DFHTA Sponsor LLC previously served as chief executive officer of the Issuer and, until immediately following consummation of the Business Combination, a member of the Issuer's board of directors. Read SEC document |
| December 31, 2018 Filed Jan 3, 2019 21:06 UTC | Nuo Therapeutics, Inc. AURX · Entity 7149 | GrantOption to Purchase Common Stock · Derivative | 62,500 | $0.00 Strike: $0.40 | $0.00 |
DisclosureSEC source: 0001091596-19-000006 · primary_doc.xml · derivative · entry 1 Atinsky Lawrence · CIK 0001674477 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,500 Underlying: COMMON STOCK · 62,500 shares Expires 2025-12-31 F1 · shares: The Reporting Person, a partner at Deerfield Management Company, L.P., has no pecuniary interest in the securities reported herein and disclaims beneficial ownership of such securities. F1 · derivative.underlying_shares: The Reporting Person, a partner at Deerfield Management Company, L.P., has no pecuniary interest in the securities reported herein and disclaims beneficial ownership of such securities. F1 · balance_after: The Reporting Person, a partner at Deerfield Management Company, L.P., has no pecuniary interest in the securities reported herein and disclaims beneficial ownership of such securities. Read SEC document |
| August 09, 2018 Filed Aug 13, 2018 20:10 UTC | Nuo Therapeutics, Inc. AURX · Entity 7149 | GrantOption to Purchase Common Stock · Derivative | 109,375 | $0.00 Strike: $0.40 | $0.00 |
DisclosureSEC source: 0001605411-18-000004 · primary_doc.xml · derivative · entry 1 Atinsky Lawrence · CIK 0001674477 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,375 Underlying: COMMON STOCK · 109,375 shares Expires 2025-08-09 F1 · shares: 1) The Reporting Person, a partner at Deerfield Management Company, L.P., has no pecuniary interest in the securities reported herein and disclaims beneficial ownership of such securities. F1 · derivative.underlying_shares: 1) The Reporting Person, a partner at Deerfield Management Company, L.P., has no pecuniary interest in the securities reported herein and disclaims beneficial ownership of such securities. F1 · balance_after: 1) The Reporting Person, a partner at Deerfield Management Company, L.P., has no pecuniary interest in the securities reported herein and disclaims beneficial ownership of such securities. Read SEC document |
| January 09, 2017 Filed Jan 12, 2017 01:18 UTC | Nuo Therapeutics, Inc. NONE · Entity 7149 | GrantOption to purchase Common Stock · Derivative | 40,000 | $0.00 Strike: $1.00 | $0.00 |
DisclosureSEC source: 0001144204-17-001880 · v456638_4.xml · derivative · entry 1 Atinsky Lawrence · CIK 0001674477 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2026-07-01 F1 · date: The grant of these options was approved by the issuer's board of directors on July 1, 2016, subject to stockholder approval of the 2016 Omnibus Incentive Compensation Plan under which the options were granted. Stockholder approval was obtained by means of a written consent and the issuer filed a related Information Statement on Schedule 14C with the SEC on November 25, 2016. The stockholder approval became effective on January 9, 2017. F3 · shares: The Reporting Person, a partner in Deerfield Management Company, L.P., has no pecuniary interest in the securities reported herein and disclaims beneficial ownership of such securities. F2 · derivative.exercise_date: Of these options, 15,000 vested immediately, and 25,000 vested on 1/1/17. 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.