Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AYTU BIOPHARMA, INCAYTU · Entity 7560 | Director | April 16, 2021 | April 16, 2021 |
| Ampio Pharmaceuticals, Inc.AMPE · Entity 112383 | Director | January 01, 2022 | January 04, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
AYTU BIOPHARMA, INC
Report date April 16, 2021 · Filed April 16, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 208,079 |
Reported balance
After 2021-04-16 transaction · row 1
1 source rowRow 1 · 2021-04-16 · Grant · Acquired 187,804 · Balance 208,079 F1: Grant of restricted shares. The restricted shares have the following accelerated vesting conditions: (1) The consummation of a Sale Event. (2) The closing price of the Company's stock price is equal or greater than forty dollars per share ($40) for two consecutive trading days. (3) The Grantee's service with the Company or a Related Entity is terminated by the Company without Cause (as defined below).The restricted shares vest as follows, and have no voting or dispositive rights until vested: 1/3 on April 16, 2022, and 1/12 on the first day of each quarter thereafter, such that the restricted shares will be fully vested on the third anniversary of the grant, subject to the reporting person's continuing employment with the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: Grant of restricted shares. The restricted shares have the following accelerated vesting conditions: (1) The consummation of a Sale Event. (2) The closing price of the Company's stock price is equal or greater than forty dollars per share ($40) for two consecutive trading days. (3) The Grantee's service with the Company or a Related Entity is terminated by the Company without Cause (as defined below).The restricted shares vest as follows, and have no voting or dispositive rights until vested: 1/3 on April 16, 2022, and 1/12 on the first day of each quarter thereafter, such that the restricted shares will be fully vested on the third anniversary of the grant, subject to the reporting person's continuing employment with the Issuer.
Ampio Pharmaceuticals, Inc.
Report date January 01, 2022 · Filed January 04, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,624,882 |
Reported balance
After 2022-01-01 transaction · row 1
1 source rowRow 1 · 2022-01-01 · Tax withholding · Disposed 68,400 · Balance 2,624,882 |
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 |
|---|---|---|---|---|---|---|
| January 01, 2022 Filed Jan 4, 2022 18:31 UTC | Ampio Pharmaceuticals, Inc. AMPE · Entity 112383 | Tax withholdingCommon Stock | 68,400 | $0.57 | $38,988.00 |
DisclosureSEC source: 0001415889-22-000257 · form4-01042022_030149.xml · nonDerivative · entry 1 MACALUSO MICHAEL · CIK 0001096423 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,624,882 Read SEC document |
| October 27, 2021 Filed Oct 28, 2021 20:30 UTC | Ampio Pharmaceuticals, Inc. AMPE · Entity 112383 | Tax withholdingCommon Stock | 43,470 | $1.64 | $71,290.80 |
DisclosureSEC source: 0001415889-21-005016 · form4-10282021_051048.xml · nonDerivative · entry 1 MACALUSO MICHAEL · CIK 0001096423 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,693,282 Read SEC document |
| October 11, 2021 Filed Oct 13, 2021 19:37 UTC | Ampio Pharmaceuticals, Inc. AMPE · Entity 112383 | GrantCommon Stock | 950,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-21-004870 · form4-10132021_041029.xml · nonDerivative · entry 1 MACALUSO MICHAEL · CIK 0001096423 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,736,752 Read SEC document |
| April 16, 2021 Filed Apr 16, 2021 16:55 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantCommon Stock | 187,804 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-21-008232 · doc1.xml · nonDerivative · entry 1 MACALUSO MICHAEL · CIK 0001096423 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 208,079 F1 · shares: Grant of restricted shares. The restricted shares have the following accelerated vesting conditions: (1) The consummation of a Sale Event. (2) The closing price of the Company's stock price is equal or greater than forty dollars per share ($40) for two consecutive trading days. (3) The Grantee's service with the Company or a Related Entity is terminated by the Company without Cause (as defined below).The restricted shares vest as follows, and have no voting or dispositive rights until vested: 1/3 on April 16, 2022, and 1/12 on the first day of each quarter thereafter, such that the restricted shares will be fully vested on the third anniversary of the grant, subject to the reporting person's continuing employment with the Issuer. F1 · price: Grant of restricted shares. The restricted shares have the following accelerated vesting conditions: (1) The consummation of a Sale Event. (2) The closing price of the Company's stock price is equal or greater than forty dollars per share ($40) for two consecutive trading days. (3) The Grantee's service with the Company or a Related Entity is terminated by the Company without Cause (as defined below).The restricted shares vest as follows, and have no voting or dispositive rights until vested: 1/3 on April 16, 2022, and 1/12 on the first day of each quarter thereafter, such that the restricted shares will be fully vested on the third anniversary of the grant, subject to the reporting person's continuing employment with the Issuer. Read SEC document |
| December 17, 2020 Filed Dec 21, 2020 18:36 UTC | Ampio Pharmaceuticals, Inc. AMPE · Entity 112383 | GrantStock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $1.78 | $0.00 |
DisclosureSEC source: 0001415889-20-003005 · form4-12212020_031245.xml · derivative · entry 1 MACALUSO MICHAEL · CIK 0001096423 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2030-12-17 Read SEC document |
| July 01, 2020 Filed Jul 6, 2020 15:00 UTC | Ampio Pharmaceuticals, Inc. AMPE · Entity 112383 | GrantStock Option (Right to Buy) · Derivative | 255,000 | $0.00 Strike: $0.65 | $0.00 |
DisclosureSEC source: 0001415889-20-001832 · form4-07062020_110748.xml · derivative · entry 3 MACALUSO MICHAEL · CIK 0001096423 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 255,000 Underlying: Common Stock · 255,000 shares Expires 2030-07-01 F3 · derivative.exercise_date: 100% of the stock options award vests and becomes exercisable on the date of the grant. Read SEC document |
| July 01, 2020 Filed Jul 6, 2020 15:00 UTC | Ampio Pharmaceuticals, Inc. AMPE · Entity 112383 | Disposition to issuerStock Option (Right to Buy) · Derivative | 80,000 | $0.00 Strike: $1.70 | $0.00 |
DisclosureSEC source: 0001415889-20-001832 · form4-07062020_110748.xml · derivative · entry 2 MACALUSO MICHAEL · CIK 0001096423 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 80,000 shares Expires 2020-08-27 F2 · derivative.exercise_date: This option was cancelled by mutual agreement between the company and the reporting person. Read SEC document |
| July 01, 2020 Filed Jul 6, 2020 15:00 UTC | Ampio Pharmaceuticals, Inc. AMPE · Entity 112383 | Disposition to issuerStock Option (Right to Buy) · Derivative | 220,000 | $0.00 Strike: $1.03 | $0.00 |
DisclosureSEC source: 0001415889-20-001832 · form4-07062020_110748.xml · derivative · entry 1 MACALUSO MICHAEL · CIK 0001096423 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 220,000 shares Expires 2020-08-12 F1 · derivative.exercise_date: This option was cancelled by mutual agreement between the company and the reporting person. Read SEC document |
| June 08, 2020 Filed Jun 12, 2020 17:41 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantEmployee Stock Option Grant · Derivative | 40,000 | $0.00 Strike: $1.45 | $0.00 |
DisclosureSEC source: 0001654954-20-006581 · section16.xml · derivative · entry 2 MACALUSO MICHAEL · CIK 0001096423 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,105 Underlying: Common Stock · 40,000 shares Expires 2030-06-07 F2 · derivative.exercise_date: 100% vest on June 7, 2021, subject to the Grantee's continued service as a director on such dates. Read SEC document |
| January 10, 2020 Filed Jan 14, 2020 16:12 UTC | Ampio Pharmaceuticals, Inc. AMPE · Entity 112383 | GrantOption (Right to Buy) · Derivative | 200,000 | $0.00 Strike: $0.68 | $0.00 |
DisclosureSEC source: 0001415889-20-000097 · form4-01142020_010106.xml · derivative · entry 1 MACALUSO MICHAEL · CIK 0001096423 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2030-01-10 F2 · price: Stock Option grant was awarded in connection with an employment agreement between the Reporting Person and the Issuer. F1 · derivative.exercise_date: 50% of the Stock Option award vests and becomes exercisable on the date of the grant; the remaining 50% of the stock option award vests and becomes exercisable on January 10, 2021. Read SEC document |
| October 24, 2018 Filed Oct 26, 2018 19:56 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantCommon Stock | 200,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-18-014539 · ownership.xml · nonDerivative · entry 1 MACALUSO MICHAEL · CIK 0001096423 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 202,738 F1 · price: These are restricted shares which vest on October 24, 2028, subject to earlier vesting in certain situations. F2 · balance_after: Aggregate amount indicated reflects 20-for-1 reverse split and includes additional 2,663 post-split restricted shares previously issued. Read SEC document |
| November 07, 2017 Filed Nov 9, 2017 19:02 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantCommon Stock | 50,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001213900-17-011712 · f4110717macaluso_aytubio.xml · nonDerivative · entry 1 MACALUSO MICHAEL · CIK 0001096423 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,739 F1 · shares: These are restricted shares that vest on November 7, 2027, subject to earlier vesting in certain situations. F1 · price: These are restricted shares that vest on November 7, 2027, subject to earlier vesting in certain situations. F2 · balance_after: Of these shares, 3,250 are restricted shares that vest on July 7, 2026, subject to earlier vesting in certain situations. Read SEC document |
| March 16, 2017 Filed Mar 17, 2017 16:27 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantStock Option Grant · Derivative | 22,500 | $0.00 Strike: $0.82 | $0.00 |
DisclosureSEC source: 0001638599-17-000299 · doc4_4627.xml · derivative · entry 11 MACALUSO MICHAEL · CIK 0001096423 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,500 Underlying: Common Stock · 22,500 shares Expires 2026-07-07 F3 · kind: These six transactions involved an amendment of the exercise price of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. These options are 100% vested. F4 · derivative.exercise_date: 25% vests on September 30, 2016, December 31, 2016, March 31, 2017 and June 30, 2017, subject to the Grantee's continued service as an employee on such dates. Read SEC document |
| March 16, 2017 Filed Mar 17, 2017 16:27 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantStock Option Grant · Derivative | 8,334 | $0.00 Strike: $0.82 | $0.00 |
DisclosureSEC source: 0001638599-17-000299 · doc4_4627.xml · derivative · entry 10 MACALUSO MICHAEL · CIK 0001096423 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,334 Underlying: Common Stock · 8,334 shares Expires 2026-04-11 F3 · kind: These six transactions involved an amendment of the exercise price of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. These options are 100% vested. Read SEC document |
| March 16, 2017 Filed Mar 17, 2017 16:27 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | GrantStock Option Grant · Derivative | 10,417 | $0.00 Strike: $0.82 | $0.00 |
DisclosureSEC source: 0001638599-17-000299 · doc4_4627.xml · derivative · entry 9 MACALUSO MICHAEL · CIK 0001096423 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,417 Underlying: Common Stock · 10,417 shares Expires 2025-11-11 F3 · kind: These six transactions involved an amendment of the exercise price of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. These options are 100% vested. Read SEC document |
| March 16, 2017 Filed Mar 17, 2017 16:27 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | Disposition to issuerStock Option Grant · Derivative | 22,500 | $0.00 Strike: $3.23 | $0.00 |
DisclosureSEC source: 0001638599-17-000299 · doc4_4627.xml · derivative · entry 8 MACALUSO MICHAEL · CIK 0001096423 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 22,500 shares Expires 2026-07-07 F3 · kind: These six transactions involved an amendment of the exercise price of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. These options are 100% vested. F4 · derivative.exercise_date: 25% vests on September 30, 2016, December 31, 2016, March 31, 2017 and June 30, 2017, subject to the Grantee's continued service as an employee on such dates. Read SEC document |
| March 16, 2017 Filed Mar 17, 2017 16:27 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | Disposition to issuerStock Option Grant · Derivative | 8,334 | $0.00 Strike: $3.23 | $0.00 |
DisclosureSEC source: 0001638599-17-000299 · doc4_4627.xml · derivative · entry 7 MACALUSO MICHAEL · CIK 0001096423 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,334 shares Expires 2026-04-10 F3 · kind: These six transactions involved an amendment of the exercise price of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. These options are 100% vested. Read SEC document |
| March 16, 2017 Filed Mar 17, 2017 16:27 UTC | AYTU BIOPHARMA, INC AYTU · Entity 7560 | Disposition to issuerStock Option Grant · Derivative | 10,417 | $0.00 Strike: $3.23 | $0.00 |
DisclosureSEC source: 0001638599-17-000299 · doc4_4627.xml · derivative · entry 4 MACALUSO MICHAEL · CIK 0001096423 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,417 shares Expires 2025-11-11 F3 · kind: These six transactions involved an amendment of the exercise price of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. These options are 100% vested. Read SEC document |
| March 09, 2017 Filed Mar 13, 2017 17:31 UTC | Ampio Pharmaceuticals, Inc. AMPE · Entity 112383 | GrantStock Option (Right to Buy) · Derivative | 400,000 | $0.00 Strike: $0.81 | $0.00 |
DisclosureSEC source: 0001209191-17-020257 · doc4.xml · derivative · entry 1 MACALUSO MICHAEL · CIK 0001096423 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400,000 Underlying: Common Stock · 400,000 shares Expires 2027-03-09 F1 · derivative.exercise_date: 133,333 shares subject to the Option will vest and become exercisable on each of January 9, 2018 and January 9, 2019 and 133,334 shares will vest and become exercisable on January 9, 2020, subject to the Reporting Person's continuous service to the Issuer on each such date, and the terms under the Company's 2010 Stock Option and Incentive Plan and an employment agreement between the Reporting Person and the Issuer. 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.