Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Dicerna Pharmaceuticals IncDRNA · Entity 131951 | Director | July 18, 2017 | July 20, 2017 |
| OCULAR THERAPEUTIX, INCOCUL · Entity 273 | Director | June 18, 2021 | June 22, 2021 |
| WINDTREE THERAPEUTICS INC /DE/WINT · Entity 8761 | Director | February 03, 2021 | February 06, 2021 |
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.
Dicerna Pharmaceuticals Inc
Report date July 18, 2017 · Filed July 20, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.42 · Expires 2027-07-18 | Direct | 25,000 |
Reported balance
After 2017-07-18 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-07-18 · Grant · Acquired 25,000 · Balance 25,000 F1: This option vests monthly over 12 months from July 11, 2017 in substantially equal monthly installments, subject to the Reporting Person's continued service to the Issuer through each such date. |
Filing footnotes · ownership attribution and instrument terms
F1: This option vests monthly over 12 months from July 11, 2017 in substantially equal monthly installments, subject to the Reporting Person's continued service to the Issuer through each such date.
OCULAR THERAPEUTIX, INC
Report date June 18, 2021 · Filed June 22, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.51 · Expires 2031-06-17 | Direct | 18,000 |
Reported balance
After 2021-06-18 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-06-18 · Grant · Acquired 18,000 · Balance 18,000 F1: Vests with respect to 100% of the securities on the first anniversary of the grant date. |
Filing footnotes · ownership attribution and instrument terms
F1: Vests with respect to 100% of the securities on the first anniversary of the grant date.
WINDTREE THERAPEUTICS INC /DE/
Report date February 03, 2021 · Filed February 06, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.50 · Expires 2031-02-03 | Direct | 15,000 |
Reported balance
After 2021-02-03 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-02-03 · Grant · Acquired 15,000 · Balance 15,000 F1: The stock options shall vest as follows: 1/3 vested immediately on the grant date, 1/3 shall vest on the first anniversary of the grant date and 1/3 shall vest on the second anniversary of the grant date. |
| Common StockSEC Table I · non-derivative | Direct | 8,886 |
Reported balance
Holding disclosure · report date 2021-02-03 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 8,886 |
Filing footnotes · ownership attribution and instrument terms
F1: The stock options shall vest as follows: 1/3 vested immediately on the grant date, 1/3 shall vest on the first anniversary of the grant date and 1/3 shall vest on the second anniversary of the grant 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 18, 2021 Filed Jun 22, 2021 20:02 UTC | OCULAR THERAPEUTIX, INC OCUL · Entity 273 | GrantStock Option (Right to Buy) · Derivative | 18,000 | $0.00 Strike: $13.51 | $0.00 |
DisclosureSEC source: 0001104659-21-084299 · tm2120338-4_4seq1.xml · derivative · entry 1 PEACOCK BRUCE · CIK 0001228459 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,000 Underlying: Common Stock · 18,000 shares Expires 2031-06-17 F1 · derivative.exercise_date: Vests with respect to 100% of the securities on the first anniversary of the grant date. Read SEC document |
| February 03, 2021 Filed Feb 6, 2021 02:14 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $5.50 | $0.00 |
DisclosureSEC source: 0001437749-21-002149 · rdgdoc.xml · derivative · entry 2 PEACOCK BRUCE · CIK 0001228459 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2031-02-03 F1 · derivative.exercise_date: The stock options shall vest as follows: 1/3 vested immediately on the grant date, 1/3 shall vest on the first anniversary of the grant date and 1/3 shall vest on the second anniversary of the grant date. Read SEC document |
| December 03, 2020 Filed Dec 7, 2020 21:30 UTC | OCULAR THERAPEUTIX, INC OCUL · Entity 273 | Exercise / conversionStock Option (Right to Buy) · Derivative | 7,000 | $0.00 Strike: $8.14 | $0.00 |
DisclosureSEC source: 0001104659-20-132978 · tm2037800-1_4seq1.xml · derivative · entry 5 PEACOCK BRUCE · CIK 0001228459 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,000 Underlying: Common Stock · 7,000 shares Expires 2028-06-13 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_date: This option was granted on June 14, 2018 and fully vested on June 14, 2019. Read SEC document |
| December 03, 2020 Filed Dec 7, 2020 21:30 UTC | OCULAR THERAPEUTIX, INC OCUL · Entity 273 | Exercise / conversionStock Option (Right to Buy) · Derivative | 18,000 | $0.00 Strike: $3.90 | $0.00 |
DisclosureSEC source: 0001104659-20-132978 · tm2037800-1_4seq1.xml · derivative · entry 4 PEACOCK BRUCE · CIK 0001228459 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,000 shares Expires 2029-06-10 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. F2 · derivative.exercise_date: This option was granted on June 11, 2019 and fully vested on June 11, 2020. Read SEC document |
| December 03, 2020 Filed Dec 7, 2020 21:30 UTC | OCULAR THERAPEUTIX, INC OCUL · Entity 273 | SaleCommon Stock | 25,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-20-132978 · tm2037800-1_4seq1.xml · nonDerivative · entry 3 PEACOCK BRUCE · CIK 0001228459 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.36 to $18.45, inclusive. The reporting person undertakes to provide to Ocular Therapeutix, Inc., any security holder of Ocular Therapeutix, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4. Read SEC document |
| December 03, 2020 Filed Dec 7, 2020 21:30 UTC | OCULAR THERAPEUTIX, INC OCUL · Entity 273 | Exercise / conversionCommon Stock | 7,000 | $8.14 | $56,980.00 |
DisclosureSEC source: 0001104659-20-132978 · tm2037800-1_4seq1.xml · nonDerivative · entry 2 PEACOCK BRUCE · CIK 0001228459 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 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 03, 2020 Filed Dec 7, 2020 21:30 UTC | OCULAR THERAPEUTIX, INC OCUL · Entity 273 | Exercise / conversionCommon Stock | 18,000 | $3.90 | $70,200.00 |
DisclosureSEC source: 0001104659-20-132978 · tm2037800-1_4seq1.xml · nonDerivative · entry 1 PEACOCK BRUCE · CIK 0001228459 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 25, 2020 Filed Jun 26, 2020 16:02 UTC | OCULAR THERAPEUTIX, INC OCUL · Entity 273 | GrantStock Option (Right to Buy) · Derivative | 18,000 | $0.00 Strike: $8.75 | $0.00 |
DisclosureSEC source: 0001104659-20-077440 · a4.xml · derivative · entry 1 PEACOCK BRUCE · CIK 0001228459 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,000 Underlying: Common Stock · 18,000 shares Expires 2030-06-24 F1 · derivative.exercise_date: Vests with respect to 100% of the securities on the first anniversary of the grant date. Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:41 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock Warrants · Derivative | 3,500 | $0.00 Strike: $7.98 | $0.00 |
DisclosureSEC source: 0001437749-20-011871 · rdgdoc.xml · derivative · entry 2 PEACOCK BRUCE · CIK 0001228459 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,500 Underlying: Common Stock · 3,500 shares Expires 2025-05-22 F2 · price: Issued in connection with the purchase of shares of common stock on May 22, 2020 as reported above. Read SEC document |
| May 22, 2020 Filed May 28, 2020 01:41 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseCommon Stock | 3,500 | $7.25 | $25,375.00 |
DisclosureSEC source: 0001437749-20-011871 · rdgdoc.xml · nonDerivative · entry 1 PEACOCK BRUCE · CIK 0001228459 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,886 F1 · balance_after: Adjusted to reflect 1-for-3 reverse stock split effective April 29, 2020. Read SEC document |
| June 28, 2019 Filed Jul 2, 2019 22:10 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $4.60 | $0.00 |
DisclosureSEC source: 0001437749-19-013410 · rdgdoc.xml · derivative · entry 2 PEACOCK BRUCE · CIK 0001228459 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2029-06-28 F1 · derivative.exercise_date: Stock option shall fully vest upon the first anniversary of the grant date or as provided under the Award Agreement and 2011 Plan. Read SEC document |
| June 11, 2019 Filed Jun 13, 2019 17:19 UTC | OCULAR THERAPEUTIX, INC OCUL · Entity 273 | GrantStock Option (Right to Buy) · Derivative | 18,000 | $0.00 Strike: $3.90 | $0.00 |
DisclosureSEC source: 0001104659-19-035412 · a4.xml · derivative · entry 1 PEACOCK BRUCE · CIK 0001228459 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,000 Underlying: Common Stock · 18,000 shares Expires 2029-06-10 F1 · derivative.exercise_date: Vests with respect to 100% of the securities on the first anniversary of the grant date. Read SEC document |
| December 24, 2018 Filed Dec 27, 2018 23:30 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantStock Option (Right to Buy) · Derivative | 32,000 | $0.00 Strike: $4.22 | $0.00 |
DisclosureSEC source: 0001437749-18-022668 · rdgdoc.xml · derivative · entry 2 PEACOCK BRUCE · CIK 0001228459 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,000 Underlying: Common Stock · 32,000 shares Expires 2028-12-24 F2 · derivative.exercise_date: Stock option shall fully vest upon the first anniversary of the grant date or as provided under the Award Agreement and 2011 Plan. Read SEC document |
| December 24, 2018 Filed Dec 27, 2018 23:30 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | GrantCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-022668 · rdgdoc.xml · nonDerivative · entry 1 PEACOCK BRUCE · CIK 0001228459 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,160 F1 · shares: Restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. The RSUs shall fully vest upon the first anniversary of the grant date or as provided under the Award Agreement and 2011 Plan. Read SEC document |
| November 21, 2018 Filed Nov 24, 2018 02:47 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | ConversionSeries A Convertible Preferred Stock · Derivative | 17 | Not disclosed Strike: $27.40 | Not disclosed |
DisclosureSEC source: 0001437749-18-021249 · rdgdoc.xml · derivative · entry 2 PEACOCK BRUCE · CIK 0001228459 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 850 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. F2 · derivative.exercise_price: Adjusted to reflect 1-for-20 reverse stock split effective December 22, 2017. F1 · price: Series A Convertible Preferred Stock (Preferred Stock) originally acquired in a unit offering consisting of Preferred Stock and a warrant at a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible without additional consideration into 50 shares of the Company's common stock, and 50 Series A-1 seven-year warrants. F3 · derivative.exercise_date: Series A Convertible Preferred Stock was immediately convertible and had no expiration date. F3 · derivative.expiration_date: Series A Convertible Preferred Stock was immediately convertible and had no expiration date. F2 · derivative.underlying_shares: Adjusted to reflect 1-for-20 reverse stock split effective December 22, 2017. Read SEC document |
| November 21, 2018 Filed Nov 24, 2018 02:47 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | ConversionCommon Stock | 850 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-18-021249 · rdgdoc.xml · nonDerivative · entry 1 PEACOCK BRUCE · CIK 0001228459 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,160 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 · price: Series A Convertible Preferred Stock (Preferred Stock) originally acquired in a unit offering consisting of Preferred Stock and a warrant at a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible without additional consideration into 50 shares of the Company's common stock, and 50 Series A-1 seven-year warrants. F2 · balance_after: Adjusted to reflect 1-for-20 reverse stock split effective December 22, 2017. Read SEC document |
| June 14, 2018 Filed Jun 15, 2018 17:23 UTC | OCULAR THERAPEUTIX, INC OCUL · Entity 273 | GrantStock Option (Right to Buy) · Derivative | 18,000 | $0.00 Strike: $8.14 | $0.00 |
DisclosureSEC source: 0001104659-18-040496 · a4.xml · derivative · entry 1 PEACOCK BRUCE · CIK 0001228459 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,000 Underlying: Common Stock · 18,000 shares Expires 2028-06-13 F1 · derivative.exercise_date: Vests with respect to 100% of the securities on the first anniversary of the grant date. Read SEC document |
| July 18, 2017 Filed Jul 20, 2017 17:00 UTC | Dicerna Pharmaceuticals Inc DRNA · Entity 131951 | GrantDirector Stock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $3.42 | $0.00 |
DisclosureSEC source: 0000899243-17-018640 · doc4.xml · derivative · entry 1 PEACOCK BRUCE · CIK 0001228459 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2027-07-18 F1 · derivative.exercise_date: This option vests monthly over 12 months from July 11, 2017 in substantially equal monthly installments, subject to the Reporting Person's continued service to the Issuer through each such date. Read SEC document |
| June 01, 2017 Filed Jun 1, 2017 18:29 UTC | OCULAR THERAPEUTIX, INC OCUL · Entity 273 | GrantStock Option (Right to Buy) · Derivative | 13,500 | $0.00 Strike: $10.71 | $0.00 |
DisclosureSEC source: 0001104659-17-037010 · a4.xml · derivative · entry 1 PEACOCK BRUCE · CIK 0001228459 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,500 Underlying: Common Stock · 13,500 shares Expires 2027-05-31 F1 · derivative.exercise_date: Vests with respect to 100% of the securities on the first anniversary of the grant date. Read SEC document |
| February 13, 2017 Filed Feb 15, 2017 22:13 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseSeries A-1 Warrants (Right to Buy) · Derivative | 17,000 | Not disclosed Strike: $1.37 | Not disclosed |
DisclosureSEC source: 0001437749-17-002594 · rdgdoc.xml · derivative · entry 2 PEACOCK BRUCE · CIK 0001228459 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,000 Underlying: Common Stock · 17,000 shares Expires 2024-08-15 F3 · price: Series A-1 Warrants in connection with the purchase of Series A Convertible Preferred Stock units acquired in a private placement offering with a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible into 1,000 shares of the Company's common stock, and 1,000 Series A-1 seven-year warrants to purchase one share of the Company's common stock at an exercise price of $1.37. Read SEC document |
| February 13, 2017 Filed Feb 15, 2017 22:13 UTC | WINDTREE THERAPEUTICS INC /DE/ WINT · Entity 8761 | PurchaseSeries A Convertible Preferred Stock · Derivative | 17 | Not disclosed Strike: $1.37 | Not disclosed |
DisclosureSEC source: 0001437749-17-002594 · rdgdoc.xml · derivative · entry 1 PEACOCK BRUCE · CIK 0001228459 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17 Underlying: Common Stock · 17,000 shares Expires not disclosed F2 · price: Series A Convertible Preferred Stock in connection with the purchase of Series A Convertible Preferred Stock units acquired in a private placement offering with a unit price of $1,495. Each unit consists of one share of Series A Convertible Preferred Stock, which is convertible into 1,000 shares of the Company's common stock, and 1,000 Series A-1 seven-year warrants to purchase one share of the Company's common stock at an exercise price of $1.37. F1 · derivative.exercise_date: Series A Convertible Preferred Stock is immediately exercisable and has no expiration date. F1 · derivative.expiration_date: Series A Convertible Preferred Stock is immediately exercisable and has no expiration date. 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.