Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Cascadia Acquisition Corp.CCAIU · Entity 134644 | Director | August 30, 2021 | September 09, 2021 |
| Oaktree Specialty Lending CorpOCSL · Entity 4863 | See Remarks | December 15, 2017 | December 19, 2017 |
| Oaktree Strategic Income CorpOCSI · Entity 140960 | See Remarks | December 15, 2017 | December 19, 2017 |
| Oaktree Strategic Income II, Inc.NONE · Entity 131737 | Director · See Remarks | October 02, 2018 | October 02, 2018 |
| Sorrento Therapeutics, Inc.SRNE · Entity 109201 | Director | June 15, 2020 | June 15, 2020 |
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.
Cascadia Acquisition Corp.
Report date August 30, 2021 · Filed September 09, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Common StockSEC Table II · derivative / convertible security | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2021-08-30 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: As described in the issuer's registration statement on Form S-1 (File No. 333-258515) (the "Registration Statement") under the heading "Description of Securities-Founders Shares," the shares of Class B common stock, par value $0.0001 per share, of the issuer will automatically convert into shares of Class A common stock, par value $0.0001 per share, of the issuer upon the consummation of the issuer's initial business combination on a one-for-one basis, subject to certain adjustment, and have no expiration date. F2: As contemplated by the securities assignment agreement between Cascadia Acquisition Sponsor LLC ("Sponsor") and the reporting person, dated August 26, 2021, Sponsor assigned 25,000 shares of Class B common stock to the reporting person in connection with his appointment to the issuer's board of directors. |
Filing footnotes · ownership attribution and instrument terms
F1: As described in the issuer's registration statement on Form S-1 (File No. 333-258515) (the "Registration Statement") under the heading "Description of Securities-Founders Shares," the shares of Class B common stock, par value $0.0001 per share, of the issuer will automatically convert into shares of Class A common stock, par value $0.0001 per share, of the issuer upon the consummation of the issuer's initial business combination on a one-for-one basis, subject to certain adjustment, and have no expiration date.
F2: As contemplated by the securities assignment agreement between Cascadia Acquisition Sponsor LLC ("Sponsor") and the reporting person, dated August 26, 2021, Sponsor assigned 25,000 shares of Class B common stock to the reporting person in connection with his appointment to the issuer's board of directors.
Oaktree Specialty Lending Corp
Report date December 15, 2017 · Filed December 19, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 12,000 |
Ending reported balance
After 2017-12-15 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2017-12-15 · Purchase · Acquired 4,524 · Balance 4,524 Row 2 · 2017-12-15 · Purchase · Acquired 7,476 · Balance 12,000 |
Oaktree Strategic Income Corp
Report date December 15, 2017 · Filed December 19, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 6,000 |
Ending reported balance
After 2017-12-15 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2017-12-15 · Purchase · Acquired 34 · Balance 34 Row 2 · 2017-12-15 · Purchase · Acquired 734 · Balance 768 Row 3 · 2017-12-15 · Purchase · Acquired 5,232 · Balance 6,000 |
Oaktree Strategic Income II, Inc.
Report date October 02, 2018 · Filed October 02, 2018
This filing explicitly reported no securities owned.
Sorrento Therapeutics, Inc.
Report date June 15, 2020 · Filed June 15, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $4.89 · Expires 2030-06-15 | Direct | 100,000 |
Reported balance
After 2020-06-15 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-06-15 · Grant · Acquired 100,000 · Balance 100,000 F1: 1/12th of the original number of shares subject to this option shall vest and become exercisable on July 15, 2020, and 1/12th of the original number of shares subject to the option shall vest following each one month of service thereafter, subject to the Reporting Person's continued service on the Issuer's board of directors on each such date. |
Filing footnotes · ownership attribution and instrument terms
F1: 1/12th of the original number of shares subject to this option shall vest and become exercisable on July 15, 2020, and 1/12th of the original number of shares subject to the option shall vest following each one month of service thereafter, subject to the Reporting Person's continued service on the Issuer's board of directors on each such date.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 15, 2020 Filed Jun 15, 2020 18:09 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | GrantStock Options · Derivative | 100,000 | $0.00 Strike: $4.89 | $0.00 |
DisclosureSEC source: 0000850261-20-000044 · wf-form4_159225898048666.xml · derivative · entry 1 Lee Edgar · CIK 0001511022 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2030-06-15 F1 · derivative.exercise_date: 1/12th of the original number of shares subject to this option shall vest and become exercisable on July 15, 2020, and 1/12th of the original number of shares subject to the option shall vest following each one month of service thereafter, subject to the Reporting Person's continued service on the Issuer's board of directors on each such date. Read SEC document |
| December 09, 2019 Filed Dec 11, 2019 17:08 UTC | Sorrento Therapeutics, Inc. SRNE · Entity 109201 | GrantCommon Stock · Derivative | 75,000 | $0.00 Strike: $3.81 | $0.00 |
DisclosureSEC source: 0000850261-19-000045 · wf-form4_157610210322532.xml · derivative · entry 1 Lee Edgar · CIK 0001511022 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2029-12-09 F1 · derivative.exercise_date: 1/12 of the original number of shares subject to this option shall vest and become exercisable on January 1, 2020 and 1/12 of the original number of shares subject to the option shall vest following each one month of service thereafter, subject to the Reporting Person's continued service on the Issuer's board of directors on each such date. Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 22:51 UTC | Oaktree Specialty Lending Corp OCSL · Entity 4863 | PurchaseCommon Stock | 7,476 | $4.66 | $34,872.55 |
DisclosureSEC source: 0000899243-17-029209 · doc4.xml · nonDerivative · entry 2 Lee Edgar · CIK 0001511022 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 22:51 UTC | Oaktree Specialty Lending Corp OCSL · Entity 4863 | PurchaseCommon Stock | 4,524 | $4.67 | $21,125.27 |
DisclosureSEC source: 0000899243-17-029209 · doc4.xml · nonDerivative · entry 1 Lee Edgar · CIK 0001511022 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,524 Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 17:38 UTC | Oaktree Strategic Income Corp OCSI · Entity 140960 | PurchaseCommon Stock | 5,232 | $8.58 | $44,906.78 |
DisclosureSEC source: 0000899243-17-029199 · doc4.xml · nonDerivative · entry 3 Lee Edgar · CIK 0001511022 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 17:38 UTC | Oaktree Strategic Income Corp OCSI · Entity 140960 | PurchaseCommon Stock | 734 | $8.58 | $6,297.13 |
DisclosureSEC source: 0000899243-17-029199 · doc4.xml · nonDerivative · entry 2 Lee Edgar · CIK 0001511022 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 768 Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 17:38 UTC | Oaktree Strategic Income Corp OCSI · Entity 140960 | PurchaseCommon Stock | 34 | $8.58 | $291.83 |
DisclosureSEC source: 0000899243-17-029199 · doc4.xml · nonDerivative · entry 1 Lee Edgar · CIK 0001511022 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34 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.