Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Applied UV, Inc.AUVI · Entity 111217 | Director | December 31, 2021 | February 14, 2022 |
| Avalo Therapeutics, Inc.CERC · Entity 4936 | Director | March 31, 2018 | April 04, 2018 |
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.
Applied UV, Inc.
Report date December 31, 2021 · Filed February 14, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 35,000 |
Reported balance
After 2021-01-01 transaction · row 1
1 source rowRow 1 · 2021-01-01 · Purchase · Acquired 12,500 · Balance 35,000 F1: Restricted stock vests January 1, 2022. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted stock vests January 1, 2022.
Avalo Therapeutics, Inc.
Report date March 31, 2018 · Filed April 04, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.29 · Expires 2028-03-30 | Direct | 2,262 |
Reported balance
After 2018-03-31 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-03-31 · Grant · Acquired 2,262 · Balance 2,262 |
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Aevi Genomic Medicine, LLC
Report date February 03, 2020 · Filed February 05, 2020
Section 16 reporting ended · disclosed 2020-02-05. 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 2020-02-03 transaction · row 1
1 source rowRow 1 · 2020-02-03 · Disposition to issuer · Disposed 165,715 · Balance 0 F1: Disposed of as a result of the merger pursuant to the previously announced Agreement and Plan of Merger and Reorganization by and among Cerecor Inc. ("Cerecor"), Genie Merger Sub, Inc., Second Genie Merger Sub, LLC and issuer (the "Merger"). At the effective time of the Merger, holders of issuer common stock received (A) the fraction of a share of Cerecor common stock equal to the exchange ratio of 0.0334 (B) one contingent value right, which represents the right to receive contingent payments upon the achievement of certain milestones and (C) cash in lieu of any fractional shares of Cerecor common stock. |
| Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $8.19 · Expires 2020-09-14 | Direct | 0 |
Reported balance
After 2020-02-03 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-02-03 · Disposition to issuer · Disposed 28,571 · Balance 0 F2: This option, which became exercisable on Septmeber 14, 2011, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger. |
| Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $6.70 · Expires 2023-11-11 | Direct | 0 |
Reported balance
After 2020-02-03 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2020-02-03 · Disposition to issuer · Disposed 50,000 · Balance 0 F3: This option, which became exercisable on November 11, 2014, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger. |
| Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $7.01 · Expires 2025-02-18 | Direct | 0 |
Reported balance
After 2020-02-03 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2020-02-03 · Disposition to issuer · Disposed 20,000 · Balance 0 F4: This option, which became exercisable on February 18, 2016, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger. |
| Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $4.83 · Expires 2026-04-15 | Direct | 0 |
Reported balance
After 2020-02-03 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-02-03 · Disposition to issuer · Disposed 20,000 · Balance 0 F5: This option, which became exercisable on April 15, 2017, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger. |
| Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $1.32 · Expires 2027-06-22 | Direct | 0 |
Reported balance
After 2020-02-03 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-02-03 · Disposition to issuer · Disposed 20,000 · Balance 0 F6: This option, which became exercisable on June 22, 2018, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger. |
| Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $1.55 · Expires 2028-04-17 | Direct | 0 |
Reported balance
After 2020-02-03 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2020-02-03 · Disposition to issuer · Disposed 50,000 · Balance 0 F7: This option, which became exercisable on April 17, 2019, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger. |
| Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.84 · Expires 2022-10-17 | Direct | 0 |
Reported balance
After 2020-02-03 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2020-02-03 · Disposition to issuer · Disposed 3,530 · Balance 0 F8: This warrant, which was issued pursuant to a Securities Purchase Agreement dated August 9, 2017, was subsequently amended by the Amendment Agreement of Warrants to Purchase Common Stock dated December 5, 2019, whereby immediately prior to the Merger the warrants were automatically exercised in a cashless exercise. Given the exercise price of the outstanding warrants, the cashless exercise resulted in no shares of common stock being issued and the warrant was rendered null and void. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of as a result of the merger pursuant to the previously announced Agreement and Plan of Merger and Reorganization by and among Cerecor Inc. ("Cerecor"), Genie Merger Sub, Inc., Second Genie Merger Sub, LLC and issuer (the "Merger"). At the effective time of the Merger, holders of issuer common stock received (A) the fraction of a share of Cerecor common stock equal to the exchange ratio of 0.0334 (B) one contingent value right, which represents the right to receive contingent payments upon the achievement of certain milestones and (C) cash in lieu of any fractional shares of Cerecor common stock.
F2: This option, which became exercisable on Septmeber 14, 2011, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger.
F3: This option, which became exercisable on November 11, 2014, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger.
F4: This option, which became exercisable on February 18, 2016, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger.
F5: This option, which became exercisable on April 15, 2017, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger.
F6: This option, which became exercisable on June 22, 2018, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger.
F7: This option, which became exercisable on April 17, 2019, was automatically cancelled and ceased to exist without any consideration or payment pursuant to the Merger.
F8: This warrant, which was issued pursuant to a Securities Purchase Agreement dated August 9, 2017, was subsequently amended by the Amendment Agreement of Warrants to Purchase Common Stock dated December 5, 2019, whereby immediately prior to the Merger the warrants were automatically exercised in a cashless exercise. Given the exercise price of the outstanding warrants, the cashless exercise resulted in no shares of common stock being issued and the warrant was rendered null and void.
Dermira, Inc.
Report date February 20, 2020 · Filed February 24, 2020
Section 16 reporting ended · disclosed 2020-02-24. 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 |
Ending reported balance
After 2020-02-20 transaction · row 3
2 source rows · reconciled sequenceRow 1 · 2020-02-11 · Gift · Disposed 12,924 · Balance 3,726 Row 3 · 2020-02-20 · Disposition to issuer · Disposed 3,726 · Balance 0 F2: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 10, 2020, by and among Dermira, Inc. ("Dermira"), Eli Lilly and Company, an Indiana corporation ("Lilly"), and Bald Eagle Acquisition Corporation, a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), Merger Sub merged with and into Dermira, with Dermira surviving as a wholly owned subsidiary of Lilly (the "Merger"), effective as of February 20, 2020. Pursuant to the Merger Agreement, each issued and outstanding share (the "Shares") of Dermira common stock, par value $0.001 per share, was purchased at a price of $18.75 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes. |
| Common StockSEC Table I · non-derivative | IndirectBy the Bauer Family 1995 Trust | 0 |
Last balance in matching sequence
After 2020-02-20 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 2 · 2020-02-11 · Gift · Disposed 10,772 · Balance 16,206 F1: The Reporting Person is a Co-Trustee. Row 4 · 2020-02-20 · Disposition to issuer · Disposed 16,206 · Balance 0 F2: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 10, 2020, by and among Dermira, Inc. ("Dermira"), Eli Lilly and Company, an Indiana corporation ("Lilly"), and Bald Eagle Acquisition Corporation, a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), Merger Sub merged with and into Dermira, with Dermira surviving as a wholly owned subsidiary of Lilly (the "Merger"), effective as of February 20, 2020. Pursuant to the Merger Agreement, each issued and outstanding share (the "Shares") of Dermira common stock, par value $0.001 per share, was purchased at a price of $18.75 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes. F1: The Reporting Person is a Co-Trustee. |
| Stock Options (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.99 · Expires 2021-10-03 | Direct | 0 |
Reported balance
After 2020-02-20 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2020-02-20 · Disposition to issuer · Disposed 110,434 · Balance 0 F2: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 10, 2020, by and among Dermira, Inc. ("Dermira"), Eli Lilly and Company, an Indiana corporation ("Lilly"), and Bald Eagle Acquisition Corporation, a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), Merger Sub merged with and into Dermira, with Dermira surviving as a wholly owned subsidiary of Lilly (the "Merger"), effective as of February 20, 2020. Pursuant to the Merger Agreement, each issued and outstanding share (the "Shares") of Dermira common stock, par value $0.001 per share, was purchased at a price of $18.75 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes. F3: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each Dermira stock option, whether vested or unvested, was canceled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding Dermira stock options with an exercise price equal to or greater than the Offer Price were canceled for no consideration at the Effective Time. |
| Stock Options (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.99 · Expires 2022-02-08 | Direct | 0 |
Reported balance
After 2020-02-20 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2020-02-20 · Disposition to issuer · Disposed 32,758 · Balance 0 F2: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 10, 2020, by and among Dermira, Inc. ("Dermira"), Eli Lilly and Company, an Indiana corporation ("Lilly"), and Bald Eagle Acquisition Corporation, a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), Merger Sub merged with and into Dermira, with Dermira surviving as a wholly owned subsidiary of Lilly (the "Merger"), effective as of February 20, 2020. Pursuant to the Merger Agreement, each issued and outstanding share (the "Shares") of Dermira common stock, par value $0.001 per share, was purchased at a price of $18.75 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes. F3: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each Dermira stock option, whether vested or unvested, was canceled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding Dermira stock options with an exercise price equal to or greater than the Offer Price were canceled for no consideration at the Effective Time. |
| Stock Options (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.22 · Expires 2023-01-03 | Direct | 0 |
Reported balance
After 2020-02-20 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2020-02-20 · Disposition to issuer · Disposed 103,258 · Balance 0 F2: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 10, 2020, by and among Dermira, Inc. ("Dermira"), Eli Lilly and Company, an Indiana corporation ("Lilly"), and Bald Eagle Acquisition Corporation, a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), Merger Sub merged with and into Dermira, with Dermira surviving as a wholly owned subsidiary of Lilly (the "Merger"), effective as of February 20, 2020. Pursuant to the Merger Agreement, each issued and outstanding share (the "Shares") of Dermira common stock, par value $0.001 per share, was purchased at a price of $18.75 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes. F3: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each Dermira stock option, whether vested or unvested, was canceled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding Dermira stock options with an exercise price equal to or greater than the Offer Price were canceled for no consideration at the Effective Time. |
| Stock Options (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.00 · Expires 2024-10-01 | Direct | 0 |
Reported balance
After 2020-02-20 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2020-02-20 · Disposition to issuer · Disposed 16,332 · Balance 0 F2: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 10, 2020, by and among Dermira, Inc. ("Dermira"), Eli Lilly and Company, an Indiana corporation ("Lilly"), and Bald Eagle Acquisition Corporation, a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), Merger Sub merged with and into Dermira, with Dermira surviving as a wholly owned subsidiary of Lilly (the "Merger"), effective as of February 20, 2020. Pursuant to the Merger Agreement, each issued and outstanding share (the "Shares") of Dermira common stock, par value $0.001 per share, was purchased at a price of $18.75 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes. F3: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each Dermira stock option, whether vested or unvested, was canceled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding Dermira stock options with an exercise price equal to or greater than the Offer Price were canceled for no consideration at the Effective Time. |
| Stock Options (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $26.37 · Expires 2026-02-04 | Direct | 0 |
Reported balance
After 2020-02-20 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2020-02-20 · Disposition to issuer · Disposed 52,500 · Balance 0 F2: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 10, 2020, by and among Dermira, Inc. ("Dermira"), Eli Lilly and Company, an Indiana corporation ("Lilly"), and Bald Eagle Acquisition Corporation, a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), Merger Sub merged with and into Dermira, with Dermira surviving as a wholly owned subsidiary of Lilly (the "Merger"), effective as of February 20, 2020. Pursuant to the Merger Agreement, each issued and outstanding share (the "Shares") of Dermira common stock, par value $0.001 per share, was purchased at a price of $18.75 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes. F3: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each Dermira stock option, whether vested or unvested, was canceled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding Dermira stock options with an exercise price equal to or greater than the Offer Price were canceled for no consideration at the Effective Time. |
| Employee Stock Options (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.00 · Expires 2024-10-01 | Direct | 0 |
Reported balance
After 2020-02-20 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2020-02-20 · Disposition to issuer · Disposed 9,528 · Balance 0 F2: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 10, 2020, by and among Dermira, Inc. ("Dermira"), Eli Lilly and Company, an Indiana corporation ("Lilly"), and Bald Eagle Acquisition Corporation, a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), Merger Sub merged with and into Dermira, with Dermira surviving as a wholly owned subsidiary of Lilly (the "Merger"), effective as of February 20, 2020. Pursuant to the Merger Agreement, each issued and outstanding share (the "Shares") of Dermira common stock, par value $0.001 per share, was purchased at a price of $18.75 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes. F3: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each Dermira stock option, whether vested or unvested, was canceled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding Dermira stock options with an exercise price equal to or greater than the Offer Price were canceled for no consideration at the Effective Time. |
| Employee Stock Options (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $33.84 · Expires 2027-02-16 | Direct | 0 |
Reported balance
After 2020-02-20 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2020-02-20 · Disposition to issuer · Disposed 48,750 · Balance 0 F2: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 10, 2020, by and among Dermira, Inc. ("Dermira"), Eli Lilly and Company, an Indiana corporation ("Lilly"), and Bald Eagle Acquisition Corporation, a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), Merger Sub merged with and into Dermira, with Dermira surviving as a wholly owned subsidiary of Lilly (the "Merger"), effective as of February 20, 2020. Pursuant to the Merger Agreement, each issued and outstanding share (the "Shares") of Dermira common stock, par value $0.001 per share, was purchased at a price of $18.75 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes. F3: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each Dermira stock option, whether vested or unvested, was canceled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding Dermira stock options with an exercise price equal to or greater than the Offer Price were canceled for no consideration at the Effective Time. |
| Employee Stock Options (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $28.25 · Expires 2028-02-14 | Direct | 0 |
Reported balance
After 2020-02-20 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2020-02-20 · Disposition to issuer · Disposed 57,000 · Balance 0 F2: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 10, 2020, by and among Dermira, Inc. ("Dermira"), Eli Lilly and Company, an Indiana corporation ("Lilly"), and Bald Eagle Acquisition Corporation, a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), Merger Sub merged with and into Dermira, with Dermira surviving as a wholly owned subsidiary of Lilly (the "Merger"), effective as of February 20, 2020. Pursuant to the Merger Agreement, each issued and outstanding share (the "Shares") of Dermira common stock, par value $0.001 per share, was purchased at a price of $18.75 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes. F3: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each Dermira stock option, whether vested or unvested, was canceled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding Dermira stock options with an exercise price equal to or greater than the Offer Price were canceled for no consideration at the Effective Time. |
| Employee Stock Options (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.42 · Expires 2029-02-11 | Direct | 0 |
Reported balance
After 2020-02-20 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2020-02-20 · Disposition to issuer · Disposed 65,000 · Balance 0 F2: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 10, 2020, by and among Dermira, Inc. ("Dermira"), Eli Lilly and Company, an Indiana corporation ("Lilly"), and Bald Eagle Acquisition Corporation, a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), Merger Sub merged with and into Dermira, with Dermira surviving as a wholly owned subsidiary of Lilly (the "Merger"), effective as of February 20, 2020. Pursuant to the Merger Agreement, each issued and outstanding share (the "Shares") of Dermira common stock, par value $0.001 per share, was purchased at a price of $18.75 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes. F3: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each Dermira stock option, whether vested or unvested, was canceled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding Dermira stock options with an exercise price equal to or greater than the Offer Price were canceled for no consideration at the Effective Time. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-02-20 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · 2020-02-20 · Disposition to issuer · Disposed 2,437 · Balance 0 F3: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each Dermira stock option, whether vested or unvested, was canceled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding Dermira stock options with an exercise price equal to or greater than the Offer Price were canceled for no consideration at the Effective Time. F2: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 10, 2020, by and among Dermira, Inc. ("Dermira"), Eli Lilly and Company, an Indiana corporation ("Lilly"), and Bald Eagle Acquisition Corporation, a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), Merger Sub merged with and into Dermira, with Dermira surviving as a wholly owned subsidiary of Lilly (the "Merger"), effective as of February 20, 2020. Pursuant to the Merger Agreement, each issued and outstanding share (the "Shares") of Dermira common stock, par value $0.001 per share, was purchased at a price of $18.75 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes. F4: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each Dermira restricted stock unit ("RSU"), whether vested or unvested, was canceled and converted into the right to receive an amount of cash equal to the product of (x) the number of Shares underlying such Dermira RSU multiplied by (y) the Offer Price. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-02-20 transaction · row 15
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 15 · 2020-02-20 · Disposition to issuer · Disposed 5,700 · Balance 0 F3: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each Dermira stock option, whether vested or unvested, was canceled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding Dermira stock options with an exercise price equal to or greater than the Offer Price were canceled for no consideration at the Effective Time. F2: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 10, 2020, by and among Dermira, Inc. ("Dermira"), Eli Lilly and Company, an Indiana corporation ("Lilly"), and Bald Eagle Acquisition Corporation, a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), Merger Sub merged with and into Dermira, with Dermira surviving as a wholly owned subsidiary of Lilly (the "Merger"), effective as of February 20, 2020. Pursuant to the Merger Agreement, each issued and outstanding share (the "Shares") of Dermira common stock, par value $0.001 per share, was purchased at a price of $18.75 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes. F4: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each Dermira restricted stock unit ("RSU"), whether vested or unvested, was canceled and converted into the right to receive an amount of cash equal to the product of (x) the number of Shares underlying such Dermira RSU multiplied by (y) the Offer Price. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2020-02-20 transaction · row 16
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 16 · 2020-02-20 · Disposition to issuer · Disposed 15,000 · Balance 0 F4: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each Dermira restricted stock unit ("RSU"), whether vested or unvested, was canceled and converted into the right to receive an amount of cash equal to the product of (x) the number of Shares underlying such Dermira RSU multiplied by (y) the Offer Price. F2: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 10, 2020, by and among Dermira, Inc. ("Dermira"), Eli Lilly and Company, an Indiana corporation ("Lilly"), and Bald Eagle Acquisition Corporation, a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), Merger Sub merged with and into Dermira, with Dermira surviving as a wholly owned subsidiary of Lilly (the "Merger"), effective as of February 20, 2020. Pursuant to the Merger Agreement, each issued and outstanding share (the "Shares") of Dermira common stock, par value $0.001 per share, was purchased at a price of $18.75 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a Co-Trustee.
F2: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement") dated January 10, 2020, by and among Dermira, Inc. ("Dermira"), Eli Lilly and Company, an Indiana corporation ("Lilly"), and Bald Eagle Acquisition Corporation, a Delaware corporation and a wholly owned subsidiary of Lilly ("Merger Sub"), Merger Sub merged with and into Dermira, with Dermira surviving as a wholly owned subsidiary of Lilly (the "Merger"), effective as of February 20, 2020. Pursuant to the Merger Agreement, each issued and outstanding share (the "Shares") of Dermira common stock, par value $0.001 per share, was purchased at a price of $18.75 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to withholding taxes.
F3: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each Dermira stock option, whether vested or unvested, was canceled and converted into the right to receive an amount in cash equal to the product of (x) the number of Shares issuable under such option multiplied by (y) the excess, if any, of (A) the Offer Price over (B) the per share exercise price of such option. Any outstanding Dermira stock options with an exercise price equal to or greater than the Offer Price were canceled for no consideration at the Effective Time.
F4: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each Dermira restricted stock unit ("RSU"), whether vested or unvested, was canceled and converted into the right to receive an amount of cash equal to the product of (x) the number of Shares underlying such Dermira RSU multiplied by (y) the Offer Price.
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 |
|---|---|---|---|---|---|---|
| August 15, 2018 Filed Sep 11, 2018 16:42 UTC Amendment | Dermira, Inc. DERM · Entity 11896 | Exercise / conversionRestricted Stock Unit · Derivative | 2,437 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-18-003904 · primarydocument.xml · derivative · entry 9 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,875 Underlying: Common Stock · 2,437 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: Each RSU represents a contingent right to receive one share of DERM common stock. F5 · derivative.exercise_date: Vested as to 10% of the shares on August 15, 2017 and 30% of the shares on August 15, 2018. 30% of the shares will vest on each of August 15, 2019 and August 15, 2020, subject to the Reporting Person's continuous status as a service provider on the applicable vesting date. F5 · derivative.expiration_date: Vested as to 10% of the shares on August 15, 2017 and 30% of the shares on August 15, 2018. 30% of the shares will vest on each of August 15, 2019 and August 15, 2020, subject to the Reporting Person's continuous status as a service provider on the applicable vesting date. Read SEC document |
| August 15, 2018 Filed Sep 11, 2018 16:42 UTC Amendment | Dermira, Inc. DERM · Entity 11896 | Exercise / conversionRestricted Stock Unit · Derivative | 950 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-18-003904 · primarydocument.xml · derivative · entry 8 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,550 Underlying: Common Stock · 950 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: Each RSU represents a contingent right to receive one share of DERM common stock. F4 · derivative.exercise_date: Vested as to 10% of the shares on August 15, 2018. 30% of the shares will vest on each of August 15, 2019, August 15, 2020 and August 15, 2021, subject to the Reporting Person's continuous status as a service provider on the applicable vesting date. F4 · derivative.expiration_date: Vested as to 10% of the shares on August 15, 2018. 30% of the shares will vest on each of August 15, 2019, August 15, 2020 and August 15, 2021, subject to the Reporting Person's continuous status as a service provider on the applicable vesting date. Read SEC document |
| August 15, 2018 Filed Sep 11, 2018 16:42 UTC Amendment | Dermira, Inc. DERM · Entity 11896 | Tax withholdingCommon Stock | 908 | $9.58 | $8,698.64 |
DisclosureSEC source: 0001562180-18-003904 · primarydocument.xml · nonDerivative · entry 6 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,751 Read SEC document |
| August 15, 2018 Filed Sep 11, 2018 16:42 UTC Amendment | Dermira, Inc. DERM · Entity 11896 | Tax withholdingCommon Stock | 843 | $9.58 | $8,075.94 |
DisclosureSEC source: 0001562180-18-003904 · primarydocument.xml · nonDerivative · entry 5 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,659 Read SEC document |
| August 15, 2018 Filed Sep 11, 2018 16:42 UTC Amendment | Dermira, Inc. DERM · Entity 11896 | Tax withholdingCommon Stock | 329 | $9.58 | $3,151.82 |
DisclosureSEC source: 0001562180-18-003904 · primarydocument.xml · nonDerivative · entry 4 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,502 Read SEC document |
| August 15, 2018 Filed Sep 11, 2018 16:42 UTC Amendment | Dermira, Inc. DERM · Entity 11896 | Exercise / conversionCommon Stock | 2,625 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-18-003904 · primarydocument.xml · nonDerivative · entry 3 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,831 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 |
| August 15, 2018 Filed Sep 11, 2018 16:42 UTC Amendment | Dermira, Inc. DERM · Entity 11896 | Exercise / conversionCommon Stock | 2,437 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-18-003904 · primarydocument.xml · nonDerivative · entry 2 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,206 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 |
| August 15, 2018 Filed Sep 11, 2018 16:42 UTC Amendment | Dermira, Inc. DERM · Entity 11896 | Exercise / conversionCommon Stock | 950 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-18-003904 · primarydocument.xml · nonDerivative · entry 1 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,769 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 · balance_after: These shares include prior ESPP purchases. Read SEC document |
| June 14, 2018 Filed Jun 18, 2018 16:18 UTC | Aevi Genomic Medicine, LLC GNMX · Entity 148532 | GrantStock Option (Right to Purchase) · Derivative | 50,000 | $0.00 Strike: $1.55 | $0.00 |
DisclosureSEC source: 0001192482-18-000299 · edgar.xml · derivative · entry 1 BAUER EUGENE A · CIK 0001210524 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2028-04-17 F1 · date: The option award was granted on April 17, 2018 and was subject to forfeiture if stockholder approval of a proposed amendment to the Issuer's stock incentive plan to increase the number of shares reserved for issuance under the plan was not obtained. The Issuer's stockholders approved the amendment to the Issuer's stock incentive plan at the Issuer's annual meeting of stockholders on June 14, 2018. F2 · derivative.exercise_date: The option award vests and becomes exercisable as follows (rounded up to the nearest whole share of common stock): one-third on April 17, 2019, then in 24 equal monthly installments on the 17th day of each subsequent calendar month, subject to the reporting person's continued service with the issuer. Read SEC document |
| June 14, 2018 Filed Jul 18, 2018 16:21 UTC Amendment | Aevi Genomic Medicine, LLC GNMX · Entity 148532 | GrantStock Option (Right to Purchase) · Derivative | 50,000 | $0.00 Strike: $1.55 | $0.00 |
DisclosureSEC source: 0001192482-18-000344 · edgar.xml · derivative · entry 1 BAUER EUGENE A · CIK 0001210524 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2028-04-17 F1 · date: The option award was granted on April 17, 2018 and was subject to forfeiture if stockholder approval of a proposed amendment to the Issuer's stock incentive plan to increase the number of shares reserved for issuance under the plan was not obtained. The Issuer's stockholders approved the amendment to the Issuer's stock incentive plan at the Issuer's annual meeting of stockholders on June 14, 2018. F2 · derivative.exercise_date: This amendment is being filed to amend the vesting schedule of the option award. The entire option vests and becomes exercisable on April 17, 2019, subject to the reporting person's continued service with the Issuer. Read SEC document |
| March 31, 2018 Filed Apr 4, 2018 14:31 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantEmployee Stock Option (Right to Buy) · Derivative | 2,262 | $0.00 Strike: $4.29 | $0.00 |
DisclosureSEC source: 0001562180-18-001826 · primarydocument.xml · derivative · entry 1 BAUER EUGENE A · CIK 0001210524 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,262 Underlying: Common Stock · 2,262 shares Expires 2028-03-30 Read SEC document |
| March 02, 2018 Filed Mar 6, 2018 16:04 UTC | Dermira, Inc. DERM · Entity 11896 | Exercise / conversionEmployee Stock Options (Right to buy) · Derivative | 2,500 | $1.22 Strike: $1.22 | $3,045.00 |
DisclosureSEC source: 0001562180-18-001486 · primarydocument.xml · derivative · entry 4 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,972 Underlying: Common Stock · 2,500 shares Expires 2023-01-03 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. F5 · derivative.exercise_date: This option fully vested on 1/4/2017. Read SEC document |
| March 02, 2018 Filed Mar 6, 2018 16:04 UTC | Dermira, Inc. DERM · Entity 11896 | SaleCommon Stock | 2,500 | $25.00 | $62,500.00 |
DisclosureSEC source: 0001562180-18-001486 · primarydocument.xml · nonDerivative · entry 2 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,802 F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan. F2 · price: This transaction was executed in multiple trades at prices ranging from $25.00 to $25.01. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 · balance_after: These shares include prior ESPP purchases. Read SEC document |
| March 02, 2018 Filed Mar 6, 2018 16:04 UTC | Dermira, Inc. DERM · Entity 11896 | Exercise / conversionCommon Stock | 2,500 | $1.22 | $3,045.00 |
DisclosureSEC source: 0001562180-18-001486 · primarydocument.xml · nonDerivative · entry 1 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,302 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 |
| March 01, 2018 Filed Mar 2, 2018 16:25 UTC | Dermira, Inc. DERM · Entity 11896 | Exercise / conversionEmployee Stock Options (Right to buy) · Derivative | 500 | $1.22 Strike: $1.22 | $609.00 |
DisclosureSEC source: 0001562180-18-001390 · primarydocument.xml · derivative · entry 4 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,472 Underlying: Common Stock · 500 shares Expires 2023-01-03 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. F5 · derivative.exercise_date: This option fully vested on 1/4/2017. Read SEC document |
| March 01, 2018 Filed Mar 2, 2018 16:25 UTC | Dermira, Inc. DERM · Entity 11896 | SaleCommon Stock | 500 | $25.32 | $12,658.00 |
DisclosureSEC source: 0001562180-18-001390 · primarydocument.xml · nonDerivative · entry 2 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,802 F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan. F2 · price: This transaction was executed in multiple trades at prices ranging from $25.00 to $25.85. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 · balance_after: These shares include prior ESPP purchases. Read SEC document |
| March 01, 2018 Filed Mar 2, 2018 16:25 UTC | Dermira, Inc. DERM · Entity 11896 | Exercise / conversionCommon Stock | 500 | $1.22 | $609.00 |
DisclosureSEC source: 0001562180-18-001390 · primarydocument.xml · nonDerivative · entry 1 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,302 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 |
| February 15, 2018 Filed Feb 16, 2018 17:37 UTC | Dermira, Inc. DERM · Entity 11896 | GrantRestricted Stock Unit · Derivative | 9,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-18-001048 · primarydocument.xml · derivative · entry 4 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,500 Underlying: Common Stock · 9,500 shares Expires not disclosed F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of DERM common stock. F5 · derivative.exercise_date: Vests as to 10% of the shares on August 15, 2018, 30% on August 15, 2019, 30% on August 15, 2020, 30% on August 15,2021, subject to the continuing employment of the Reporting Person on each vesting date. F4 · derivative.expiration_date: Each RSU represents a contingent right to receive one share of DERM common stock. Read SEC document |
| February 15, 2018 Filed Feb 16, 2018 17:37 UTC | Dermira, Inc. DERM · Entity 11896 | GrantEmployee Stock Options (Right to buy) · Derivative | 57,000 | $28.25 Strike: $28.25 | $1,610,250.00 |
DisclosureSEC source: 0001562180-18-001048 · primarydocument.xml · derivative · entry 3 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,000 Underlying: Common Stock · 57,000 shares Expires 2028-02-15 F3 · derivative.exercise_date: The stock option vests and becomes exercisable as to 1/48th of the shares in equal monthly installments with the first 1/48th of the shares vesting on January 1, 2018, subject to the continuing employment of the Reporting person on the applicable vesting date. Read SEC document |
| February 01, 2018 Filed Feb 2, 2018 16:46 UTC | Dermira, Inc. DERM · Entity 11896 | Exercise / conversionEmployee Stock Options (Right to buy) · Derivative | 3,000 | $1.22 Strike: $1.22 | $3,654.00 |
DisclosureSEC source: 0001562180-18-000591 · primarydocument.xml · derivative · entry 4 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,972 Underlying: Common Stock · 3,000 shares Expires 2023-01-03 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. F5 · derivative.exercise_date: This option fully vested on 1/4/2017. Read SEC document |
| February 01, 2018 Filed Feb 2, 2018 16:46 UTC | Dermira, Inc. DERM · Entity 11896 | SaleCommon Stock | 3,000 | $28.55 | $85,641.90 |
DisclosureSEC source: 0001562180-18-000591 · primarydocument.xml · nonDerivative · entry 2 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,802 F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan. F2 · price: This transaction was executed in multiple trades at prices ranging from $28.26 to $28.97. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 · balance_after: These shares include prior ESPP purchases. Read SEC document |
| February 01, 2018 Filed Feb 2, 2018 16:46 UTC | Dermira, Inc. DERM · Entity 11896 | Exercise / conversionCommon Stock | 3,000 | $1.22 | $3,654.00 |
DisclosureSEC source: 0001562180-18-000591 · primarydocument.xml · nonDerivative · entry 1 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,802 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 |
| January 02, 2018 Filed Jan 4, 2018 16:16 UTC | Dermira, Inc. DERM · Entity 11896 | Exercise / conversionEmployee Stock Options (Right to buy) · Derivative | 1,976 | $1.22 Strike: $1.22 | $2,406.77 |
DisclosureSEC source: 0001562180-18-000202 · primarydocument.xml · derivative · entry 5 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,972 Underlying: Common Stock · 1,976 shares Expires 2023-01-03 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. F5 · derivative.exercise_date: This option fully vested on 1/4/2017. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 16:16 UTC | Dermira, Inc. DERM · Entity 11896 | SaleCommon Stock | 100 | $28.03 | $2,803.00 |
DisclosureSEC source: 0001562180-18-000202 · primarydocument.xml · nonDerivative · entry 3 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,802 F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 16:16 UTC | Dermira, Inc. DERM · Entity 11896 | SaleCommon Stock | 2,900 | $27.04 | $78,406.72 |
DisclosureSEC source: 0001562180-18-000202 · primarydocument.xml · nonDerivative · entry 2 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,902 F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan. F2 · price: This transaction was executed in multiple trades at prices ranging from $26.65 to $27.61. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 · balance_after: These shares include prior ESPP purchases. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 16:16 UTC | Dermira, Inc. DERM · Entity 11896 | Exercise / conversionCommon Stock | 1,976 | $1.22 | $2,406.77 |
DisclosureSEC source: 0001562180-18-000202 · primarydocument.xml · nonDerivative · entry 1 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,802 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 |
| December 31, 2017 Filed Jan 4, 2018 10:18 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantEmployee Stock Option (Right to Buy) · Derivative | 3,060 | $0.00 Strike: $3.20 | $0.00 |
DisclosureSEC source: 0001562180-18-000177 · primarydocument.xml · derivative · entry 1 BAUER EUGENE A · CIK 0001210524 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,060 Underlying: Common Stock · 3,060 shares Expires 2027-12-30 Read SEC document |
| December 18, 2017 Filed Dec 20, 2017 16:15 UTC | Dermira, Inc. DERM · Entity 11896 | SaleCommon Stock | 3,000 | $27.34 | $82,010.70 |
DisclosureSEC source: 0001562180-17-003974 · primarydocument.xml · nonDerivative · entry 1 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,826 F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan. F2 · price: This transaction was executed in multiple trades at prices ranging from $27.15 to $27.56. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 · balance_after: These shares include prior ESPP purchases. Read SEC document |
| October 17, 2017 Filed Oct 18, 2017 16:17 UTC | Aevi Genomic Medicine, LLC GNMX · Entity 148532 | PurchaseWarrant (right to buy) · Derivative | 3,530 | $0.00 Strike: $2.84 | $0.00 |
DisclosureSEC source: 0001144204-17-053031 · tv477170_4.xml · derivative · entry 2 BAUER EUGENE A · CIK 0001210524 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,530 Underlying: Common Stock · 3,530 shares Expires 2022-10-17 Read SEC document |
| October 17, 2017 Filed Oct 18, 2017 16:17 UTC | Aevi Genomic Medicine, LLC GNMX · Entity 148532 | PurchaseCommon Stock | 19,841 | $1.26 | $24,999.66 |
DisclosureSEC source: 0001144204-17-053031 · tv477170_4.xml · nonDerivative · entry 1 BAUER EUGENE A · CIK 0001210524 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,715 Read SEC document |
| October 11, 2017 Filed Oct 13, 2017 11:40 UTC | Dermira, Inc. DERM · Entity 11896 | SaleCommon Stock | 7,500 | $30.04 | $225,300.00 |
DisclosureSEC source: 0001562180-17-003260 · primarydocument.xml · nonDerivative · entry 1 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By the Bauer Family 1995 Trust Disclosed balance after: 26,978 F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan. F2 · price: This transaction was executed in multiple trades at prices ranging from $30.00 to $30.17. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 · ownership.nature: The Reporting Person is a Co-Trustee. Read SEC document |
| September 30, 2017 Filed Oct 4, 2017 14:22 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantEmployee Stock Option (Right to Buy) · Derivative | 10,202 | $0.00 Strike: $0.85 | $0.00 |
DisclosureSEC source: 0001562180-17-003187 · primarydocument.xml · derivative · entry 1 BAUER EUGENE A · CIK 0001210524 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,202 Underlying: Common Stock · 10,202 shares Expires 2027-09-29 Read SEC document |
| August 15, 2017 Filed Aug 17, 2017 19:44 UTC | Dermira, Inc. DERM · Entity 11896 | Exercise / conversionRestricted Stock Unit · Derivative | 813 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-17-002757 · primarydocument.xml · derivative · entry 7 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,312 Underlying: Common Stock · 813 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: Each RSU represents a contingent right to receive one share of DERM common stock. F5 · derivative.exercise_date: Vested as to 10% of the shares on August 15, 2017. 30% of the shares will vest on each of August 15, 2018, August 15, 2019 and August 15, 2020, subject to the Reporting Person's continuous status as a service provider on the applicable vesting date. F5 · derivative.expiration_date: Vested as to 10% of the shares on August 15, 2017. 30% of the shares will vest on each of August 15, 2018, August 15, 2019 and August 15, 2020, subject to the Reporting Person's continuous status as a service provider on the applicable vesting date. Read SEC document |
| August 15, 2017 Filed Aug 17, 2017 19:44 UTC | Dermira, Inc. DERM · Entity 11896 | Exercise / conversionRestricted Stock Unit · Derivative | 2,625 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-17-002757 · primarydocument.xml · derivative · entry 6 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,250 Underlying: Common Stock · 2,625 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: Each RSU represents a contingent right to receive one share of DERM common stock. F4 · derivative.exercise_date: Vested as to 10% of the shares on August 15, 2016 and 30% of the shares on August 15, 2017. 30% of the shares will vest on each of August 15, 2018 and August 15, 2019, subject to the Reporting Person's continuous status as a service provider on the applicable vesting date. F4 · derivative.expiration_date: Vested as to 10% of the shares on August 15, 2016 and 30% of the shares on August 15, 2017. 30% of the shares will vest on each of August 15, 2018 and August 15, 2019, subject to the Reporting Person's continuous status as a service provider on the applicable vesting date. Read SEC document |
| August 15, 2017 Filed Aug 17, 2017 19:44 UTC | Dermira, Inc. DERM · Entity 11896 | Tax withholdingCommon Stock | 306 | $23.58 | $7,215.48 |
DisclosureSEC source: 0001562180-17-002757 · primarydocument.xml · nonDerivative · entry 4 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,360 Read SEC document |
| August 15, 2017 Filed Aug 17, 2017 19:44 UTC | Dermira, Inc. DERM · Entity 11896 | Tax withholdingCommon Stock | 987 | $23.58 | $23,273.46 |
DisclosureSEC source: 0001562180-17-002757 · primarydocument.xml · nonDerivative · entry 3 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,666 Read SEC document |
| August 15, 2017 Filed Aug 17, 2017 19:44 UTC | Dermira, Inc. DERM · Entity 11896 | Exercise / conversionCommon Stock | 2,625 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-17-002757 · primarydocument.xml · nonDerivative · entry 2 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,653 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 |
| August 15, 2017 Filed Aug 17, 2017 19:44 UTC | Dermira, Inc. DERM · Entity 11896 | Exercise / conversionCommon Stock | 813 | $0.00 | $0.00 |
DisclosureSEC source: 0001562180-17-002757 · primarydocument.xml · nonDerivative · entry 1 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,028 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 · balance_after: These shares include prior ESPP purchases. Read SEC document |
| July 05, 2017 Filed Jul 6, 2017 16:13 UTC | Dermira, Inc. DERM · Entity 11896 | SaleCommon Stock | 2,500 | $30.00 | $75,007.50 |
DisclosureSEC source: 0001562180-17-002454 · primarydocument.xml · nonDerivative · entry 1 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By the Bauer Family 1995 Trust Disclosed balance after: 34,478 F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan. F2 · price: This transaction was executed in multiple trades at prices ranging from $30.00 to $30.035. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 · ownership.nature: The Reporting Person is a Co-Trustee. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 13:38 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantEmployee Stock Option (Right to Buy) · Derivative | 13,690 | $0.00 Strike: $0.57 | $0.00 |
DisclosureSEC source: 0001562180-17-002384 · primarydocument.xml · derivative · entry 1 BAUER EUGENE A · CIK 0001210524 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,690 Underlying: Common Stock · 13,690 shares Expires 2027-06-29 F1 · derivative.exercise_date: The stock options vested immediately and became exercisable in full upon grant on 6/30/2017. Read SEC document |
| June 30, 2017 Filed Jul 31, 2017 13:34 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantEmployee Stock Option (Right to Buy) · Derivative | 8,357 | $0.00 Strike: $0.57 | $0.00 |
DisclosureSEC source: 0001562180-17-002530 · primarydocument.xml · derivative · entry 1 BAUER EUGENE A · CIK 0001210524 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,357 Underlying: Common Stock · 8,357 shares Expires 2027-06-29 F1 · derivative.exercise_date: The stock options will vest in full on June 30, 2018, subject to the grantees continued service on such vesting date. Read SEC document |
| June 22, 2017 Filed Aug 10, 2017 21:25 UTC | Aevi Genomic Medicine, LLC GNMX · Entity 148532 | GrantOption Award (right to buy) · Derivative | 20,000 | $0.00 Strike: $1.32 | $0.00 |
DisclosureSEC source: 0001144204-17-042175 · v472998_form4.xml · derivative · entry 1 BAUER EUGENE A · CIK 0001210524 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2027-06-22 Read SEC document |
| June 20, 2017 Filed Jun 21, 2017 17:03 UTC | Dermira, Inc. DERM · Entity 11896 | SaleCommon Stock | 2,500 | $30.01 | $75,032.00 |
DisclosureSEC source: 0001562180-17-002302 · primarydocument.xml · nonDerivative · entry 1 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By the Bauer Family 1995 Trust Disclosed balance after: 36,978 F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan. F2 · price: This transaction was executed in multiple trades at prices ranging from $30.00 to $30.07. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 · ownership.nature: The Reporting Person is a Co-Trustee. Read SEC document |
| May 01, 2017 Filed May 3, 2017 16:07 UTC | Dermira, Inc. DERM · Entity 11896 | SaleCommon Stock | 2,500 | $33.65 | $84,115.75 |
DisclosureSEC source: 0001562180-17-001702 · primarydocument.xml · nonDerivative · entry 1 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By the Bauer Family 1995 Trust Disclosed balance after: 39,478 F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan. F2 · price: This transaction was executed in multiple trades at prices ranging from $33.39 to $34.24. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 · ownership.nature: The Reporting Person is a Co-Trustee. Read SEC document |
| April 03, 2017 Filed Apr 4, 2017 17:38 UTC | Dermira, Inc. DERM · Entity 11896 | SaleCommon Stock | 521 | $34.03 | $17,730.10 |
DisclosureSEC source: 0001562180-17-001441 · primarydocument.xml · nonDerivative · entry 2 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By the Bauer Family 1995 Trust Disclosed balance after: 41,978 F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan. F4 · price: This transaction was executed in multiple trades at prices ranging from $33.99 to $34.11. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 · ownership.nature: The Reporting Person is a Co-Trustee. Read SEC document |
| April 03, 2017 Filed Apr 4, 2017 17:38 UTC | Dermira, Inc. DERM · Entity 11896 | SaleCommon Stock | 1,979 | $33.40 | $66,106.32 |
DisclosureSEC source: 0001562180-17-001441 · primarydocument.xml · nonDerivative · entry 1 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By the Bauer Family 1995 Trust Disclosed balance after: 42,499 F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan. F2 · price: This transaction was executed in multiple trades at prices ranging from $32.97 to $33.85. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 · ownership.nature: The Reporting Person is a Co-Trustee. Read SEC document |
| March 31, 2017 Filed Apr 4, 2017 14:02 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantEmployee Stock Option (Right to Buy) · Derivative | 9,751 | $0.00 Strike: $0.68 | $0.00 |
DisclosureSEC source: 0001562180-17-001402 · primarydocument.xml · derivative · entry 1 BAUER EUGENE A · CIK 0001210524 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,751 Underlying: Common Stock · 9,751 shares Expires 2027-03-30 Read SEC document |
| March 01, 2017 Filed Mar 2, 2017 19:12 UTC | Dermira, Inc. DERM · Entity 11896 | SaleCommon Stock | 100 | $35.89 | $3,589.00 |
DisclosureSEC source: 0001562180-17-001070 · primarydocument.xml · nonDerivative · entry 4 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By the Bauer Family 1995 Trust Disclosed balance after: 44,478 F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan. F3 · ownership.nature: The Reporting Person is a Co-Trustee. Read SEC document |
| March 01, 2017 Filed Mar 2, 2017 19:12 UTC | Dermira, Inc. DERM · Entity 11896 | SaleCommon Stock | 400 | $34.49 | $13,795.00 |
DisclosureSEC source: 0001562180-17-001070 · primarydocument.xml · nonDerivative · entry 3 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By the Bauer Family 1995 Trust Disclosed balance after: 44,578 F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan. F5 · price: This transaction was executed in multiple trades at prices ranging from $34.42 to $34.59. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 · ownership.nature: The Reporting Person is a Co-Trustee. Read SEC document |
| March 01, 2017 Filed Mar 2, 2017 19:12 UTC | Dermira, Inc. DERM · Entity 11896 | SaleCommon Stock | 1,200 | $33.81 | $40,569.00 |
DisclosureSEC source: 0001562180-17-001070 · primarydocument.xml · nonDerivative · entry 2 BAUER EUGENE A · CIK 0001210524 · Director · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By the Bauer Family 1995 Trust Disclosed balance after: 44,978 F1 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan. F4 · price: This transaction was executed in multiple trades at prices ranging from $33.41 to $34.28. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 · ownership.nature: The Reporting Person is a Co-Trustee. 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.