Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Cardiff Oncology, Inc.CRDF · Entity 6917 | Former Director | June 10, 2021 | June 14, 2021 |
| Hepion Pharmaceuticals, Inc.HEPA · Entity 8208 | Director | May 18, 2021 | May 20, 2021 |
| SYNERGY PHARMACEUTICALS, INC.SGYP · Entity 164269 | Director | July 03, 2018 | July 06, 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.
Cardiff Oncology, Inc.
Report date June 10, 2021 · Filed June 14, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $447.84 · Expires 2023-06-10 | Direct | 477,870 |
Reported balance
After 2021-06-10 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-06-10 · Other · Acquired 272 · Balance 477,870 F1: Expiration date of the stock options was extended to June 10, 2023. F2: 7,338 of the stock options vest immediately. 4,077 of the stock options vest on each of 2/25/2015 and 2016 and 4,076 of the stock options vest on 2/25/2017. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $7.18 · Expires 2023-06-10 | Direct | 477,870 |
Reported balance
After 2021-06-10 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-06-10 · Other · Acquired 223 · Balance 477,870 F1: Expiration date of the stock options was extended to June 10, 2023. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $5.18 · Expires 2023-06-10 | Direct | 477,870 |
Reported balance
After 2021-06-10 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-06-10 · Other · Acquired 223 · Balance 477,870 F1: Expiration date of the stock options was extended to June 10, 2023. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $51.84 · Expires 2023-06-10 | Direct | 477,870 |
Reported balance
After 2021-06-10 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-06-10 · Other · Acquired 530 · Balance 477,870 F1: Expiration date of the stock options was extended to June 10, 2023. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $21.60 · Expires 2023-06-10 | Direct | 477,870 |
Reported balance
After 2021-06-10 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-06-10 · Other · Acquired 755 · Balance 477,870 F1: Expiration date of the stock options was extended to June 10, 2023. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $2.48 · Expires 2023-06-10 | Direct | 477,870 |
Reported balance
After 2021-06-10 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2021-06-10 · Other · Acquired 298,320 · Balance 477,870 F1: Expiration date of the stock options was extended to June 10, 2023. F3: In connection with the Reporting Person's separation agreement dated December 21, 2020, the Compensation Committee accelerated the vesting of such stock options to December 29, 2020. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $2.60 · Expires 2023-06-10 | Direct | 477,870 |
Reported balance
After 2021-06-10 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2021-06-10 · Other · Acquired 173,145 · Balance 477,870 F1: Expiration date of the stock options was extended to June 10, 2023. F3: In connection with the Reporting Person's separation agreement dated December 21, 2020, the Compensation Committee accelerated the vesting of such stock options to December 29, 2020. |
Filing footnotes · ownership attribution and instrument terms
F1: Expiration date of the stock options was extended to June 10, 2023.
F2: 7,338 of the stock options vest immediately. 4,077 of the stock options vest on each of 2/25/2015 and 2016 and 4,076 of the stock options vest on 2/25/2017.
F3: In connection with the Reporting Person's separation agreement dated December 21, 2020, the Compensation Committee accelerated the vesting of such stock options to December 29, 2020.
Hepion Pharmaceuticals, Inc.
Report date May 18, 2021 · Filed May 20, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $1.70 · Expires 2031-05-18 | Direct | 291,050 |
Reported balance
After 2021-05-18 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-05-18 · Grant · Acquired 200,000 · Balance 291,050 F1: Stock Options have been granted subject to stockholder approval of an increase in the shares of common stock issuable pursuant to the 2013 Equity Incentive Plan. |
Filing footnotes · ownership attribution and instrument terms
F1: Stock Options have been granted subject to stockholder approval of an increase in the shares of common stock issuable pursuant to the 2013 Equity Incentive Plan.
SYNERGY PHARMACEUTICALS, INC.
Report date July 03, 2018 · Filed July 06, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 72,238 |
Ending reported balance
After 2018-07-03 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2018-07-03 · Exercise / conversion · Acquired 100,023 · Balance 100,023 Row 2 · 2018-07-03 · Tax withholding · Disposed 27,785 · Balance 72,238 F1: Represents the number of shares forfeited to the Company in payment of the exercise price of the stock options. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2018-07-09 | Direct | 434,223 |
Reported balance
After 2018-07-03 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-07-03 · Exercise / conversion · Disposed 100,023 · Balance 434,223 F2: Options became exercisable on 7/9/2009 and 7/9/2010. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the number of shares forfeited to the Company in payment of the exercise price of the stock options.
F2: Options became exercisable on 7/9/2009 and 7/9/2010.
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 10, 2021 Filed Jun 14, 2021 16:10 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | OtherStock Options · Derivative | 173,145 | $0.00 Strike: $2.60 | $0.00 |
DisclosureSEC source: 0001628280-21-012169 · wf-form4_162370142446711.xml · derivative · entry 7 ADAMS THOMAS PHD · CIK 0001234366 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 477,870 Underlying: Common Stock · 173,145 shares Expires 2023-06-10 F1 · kind: Expiration date of the stock options was extended to June 10, 2023. F3 · derivative.exercise_date: In connection with the Reporting Person's separation agreement dated December 21, 2020, the Compensation Committee accelerated the vesting of such stock options to December 29, 2020. Read SEC document |
| June 10, 2021 Filed Jun 14, 2021 16:10 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | OtherStock Options · Derivative | 298,320 | $0.00 Strike: $2.48 | $0.00 |
DisclosureSEC source: 0001628280-21-012169 · wf-form4_162370142446711.xml · derivative · entry 6 ADAMS THOMAS PHD · CIK 0001234366 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 477,870 Underlying: Common Stock · 298,320 shares Expires 2023-06-10 F1 · kind: Expiration date of the stock options was extended to June 10, 2023. F3 · derivative.exercise_date: In connection with the Reporting Person's separation agreement dated December 21, 2020, the Compensation Committee accelerated the vesting of such stock options to December 29, 2020. Read SEC document |
| June 10, 2021 Filed Jun 14, 2021 16:10 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | OtherStock Options · Derivative | 755 | $0.00 Strike: $21.60 | $0.00 |
DisclosureSEC source: 0001628280-21-012169 · wf-form4_162370142446711.xml · derivative · entry 5 ADAMS THOMAS PHD · CIK 0001234366 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 477,870 Underlying: Common Stock · 755 shares Expires 2023-06-10 F1 · kind: Expiration date of the stock options was extended to June 10, 2023. Read SEC document |
| June 10, 2021 Filed Jun 14, 2021 16:10 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | OtherStock Options · Derivative | 530 | $0.00 Strike: $51.84 | $0.00 |
DisclosureSEC source: 0001628280-21-012169 · wf-form4_162370142446711.xml · derivative · entry 4 ADAMS THOMAS PHD · CIK 0001234366 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 477,870 Underlying: Common Stock · 530 shares Expires 2023-06-10 F1 · kind: Expiration date of the stock options was extended to June 10, 2023. Read SEC document |
| June 10, 2021 Filed Jun 14, 2021 16:10 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | OtherStock Options · Derivative | 223 | $0.00 Strike: $5.18 | $0.00 |
DisclosureSEC source: 0001628280-21-012169 · wf-form4_162370142446711.xml · derivative · entry 3 ADAMS THOMAS PHD · CIK 0001234366 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 477,870 Underlying: Common Stock · 223 shares Expires 2023-06-10 F1 · kind: Expiration date of the stock options was extended to June 10, 2023. Read SEC document |
| June 10, 2021 Filed Jun 14, 2021 16:10 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | OtherStock Options · Derivative | 223 | $0.00 Strike: $7.18 | $0.00 |
DisclosureSEC source: 0001628280-21-012169 · wf-form4_162370142446711.xml · derivative · entry 2 ADAMS THOMAS PHD · CIK 0001234366 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 477,870 Underlying: Common Stock · 223 shares Expires 2023-06-10 F1 · kind: Expiration date of the stock options was extended to June 10, 2023. Read SEC document |
| June 10, 2021 Filed Jun 14, 2021 16:10 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | OtherStock Options · Derivative | 272 | $0.00 Strike: $447.84 | $0.00 |
DisclosureSEC source: 0001628280-21-012169 · wf-form4_162370142446711.xml · derivative · entry 1 ADAMS THOMAS PHD · CIK 0001234366 · Former Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 477,870 Underlying: Common Stock · 272 shares Expires 2023-06-10 F1 · kind: Expiration date of the stock options was extended to June 10, 2023. F2 · derivative.exercise_date: 7,338 of the stock options vest immediately. 4,077 of the stock options vest on each of 2/25/2015 and 2016 and 4,076 of the stock options vest on 2/25/2017. Read SEC document |
| May 18, 2021 Filed May 20, 2021 16:33 UTC | Hepion Pharmaceuticals, Inc. HEPA · Entity 8208 | GrantStock Options · Derivative | 200,000 | $0.00 Strike: $1.70 | $0.00 |
DisclosureSEC source: 0001104659-21-069934 · tm2117144-1_4seq1.xml · derivative · entry 1 ADAMS THOMAS PHD · CIK 0001234366 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 291,050 Underlying: Common Stock · 200,000 shares Expires 2031-05-18 F1 · security: Stock Options have been granted subject to stockholder approval of an increase in the shares of common stock issuable pursuant to the 2013 Equity Incentive Plan. Read SEC document |
| August 19, 2020 Filed Aug 21, 2020 16:16 UTC | Hepion Pharmaceuticals, Inc. HEPA · Entity 8208 | GrantStock Options · Derivative | 30,000 | $0.00 Strike: $3.72 | $0.00 |
DisclosureSEC source: 0001104659-20-097598 · a4.xml · derivative · entry 1 ADAMS THOMAS PHD · CIK 0001234366 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,050 Underlying: Common Stock · 30,000 shares Expires 2030-08-19 Read SEC document |
| June 17, 2020 Filed Jun 19, 2020 16:15 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | GrantStock Options · Derivative | 173,145 | $0.00 Strike: $2.60 | $0.00 |
DisclosureSEC source: 0001104659-20-075230 · a4.xml · derivative · entry 1 ADAMS THOMAS PHD · CIK 0001234366 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 477,870 Underlying: Common Stock · 173,145 shares Expires 2030-06-17 F1 · derivative.exercise_date: 57,715 vest on each of June 17, 2021, 2022 and 2023. Read SEC document |
| May 14, 2020 Filed May 18, 2020 16:15 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | PurchaseCommon Stock | 13,986 | $1.43 | $19,999.98 |
DisclosureSEC source: 0001104659-20-063173 · a4.xml · nonDerivative · entry 1 ADAMS THOMAS PHD · CIK 0001234366 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,875 Read SEC document |
| April 03, 2020 Filed Apr 7, 2020 16:15 UTC | Hepion Pharmaceuticals, Inc. HEPA · Entity 8208 | GrantStock Option · Derivative | 60,000 | $0.00 Strike: $1.63 | $0.00 |
DisclosureSEC source: 0001104659-20-044175 · a4.xml · derivative · entry 1 ADAMS THOMAS PHD · CIK 0001234366 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,051 Underlying: Common Stock · 60,000 shares Expires 2030-04-03 Read SEC document |
| July 24, 2019 Filed Jul 25, 2019 16:15 UTC | Hepion Pharmaceuticals, Inc. HEPA · Entity 8208 | GrantStock Options · Derivative | 970 | $0.00 Strike: $3.24 | $0.00 |
DisclosureSEC source: 0001104659-19-041845 · a4.xml · derivative · entry 1 ADAMS THOMAS PHD · CIK 0001234366 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,051 Underlying: Common Stock · 970 shares Expires 2029-07-24 Read SEC document |
| June 20, 2019 Filed Jun 24, 2019 16:07 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | GrantStock Options · Derivative | 298,230 | $0.00 Strike: $2.48 | $0.00 |
DisclosureSEC source: 0000899243-19-017922 · doc4.xml · derivative · entry 1 ADAMS THOMAS PHD · CIK 0001234366 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 304,725 Underlying: Common Stock · 298,230 shares Expires 2029-06-20 F1 · derivative.exercise_date: 99,410 vest on each of June 20, 2020, 2021 and 2022. Read SEC document |
| July 03, 2018 Filed Jul 6, 2018 16:31 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | Exercise / conversionStock Options · Derivative | 100,023 | $0.00 Strike: $0.50 | $0.00 |
DisclosureSEC source: 0001104659-18-044168 · a4.xml · derivative · entry 3 ADAMS THOMAS PHD · CIK 0001234366 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 434,223 Underlying: Common Stock · 100,023 shares Expires 2018-07-09 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: Options became exercisable on 7/9/2009 and 7/9/2010. Read SEC document |
| July 03, 2018 Filed Jul 6, 2018 16:31 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | Tax withholdingCommon Stock | 27,785 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-18-044168 · a4.xml · nonDerivative · entry 2 ADAMS THOMAS PHD · CIK 0001234366 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,238 F1 · shares: Represents the number of shares forfeited to the Company in payment of the exercise price of the stock options. Read SEC document |
| July 03, 2018 Filed Jul 6, 2018 16:31 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | Exercise / conversionCommon Stock | 100,023 | $0.50 | $50,011.50 |
DisclosureSEC source: 0001104659-18-044168 · a4.xml · nonDerivative · entry 1 ADAMS THOMAS PHD · CIK 0001234366 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,023 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 16, 2018 Filed Jun 19, 2018 16:31 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | GrantStock Options · Derivative | 114,750 | $0.00 Strike: $1.80 | $0.00 |
DisclosureSEC source: 0001104659-18-041065 · a4.xml · derivative · entry 1 ADAMS THOMAS PHD · CIK 0001234366 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 534,246 Underlying: Common Stock · 114,750 shares Expires 2028-06-16 F1 · shares: Represents the annual grant of stock options to each outside independent board member of the issuer. Read SEC document |
| January 23, 2018 Filed Jan 25, 2018 17:00 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | GrantStock Options · Derivative | 54,322 | $0.00 Strike: $0.30 | $0.00 |
DisclosureSEC source: 0000899243-18-001900 · doc4.xml · derivative · entry 1 ADAMS THOMAS PHD · CIK 0001234366 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 467,277 Underlying: Common Stock · 54,322 shares Expires 2028-01-23 Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 17:15 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | Exercise / conversionRestricted Stock Units · Derivative | 16,667 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-000483 · doc4.xml · derivative · entry 2 ADAMS THOMAS PHD · CIK 0001234366 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 16,667 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: Each restricted stock unit is the economic equivalent of one share of Trovagene, Inc. common stock. F3 · derivative.exercise_date: On January 2, 2017, the reporting person was granted 16,667 restricted stock units, all of which vested on January 2, 2018. The common stock into which such vested restricted stock units converted on January 2, 2018 is reported in Table I on this Form 4. F3 · derivative.expiration_date: On January 2, 2017, the reporting person was granted 16,667 restricted stock units, all of which vested on January 2, 2018. The common stock into which such vested restricted stock units converted on January 2, 2018 is reported in Table I on this Form 4. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 17:15 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | Exercise / conversionCommon Stock | 16,667 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-000483 · doc4.xml · nonDerivative · entry 1 ADAMS THOMAS PHD · CIK 0001234366 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 351,959 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Represents the conversion upon vesting of restricted stock units into common stock (the "Converted Common Stock"). On January 2, 2017, the reporting person was granted 16,667 restricted stock units, all of which vested on January 2, 2018. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on January 5, 2017. Read SEC document |
| October 04, 2017 Filed Oct 5, 2017 16:18 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | GrantStock Options · Derivative | 38,106 | $0.00 Strike: $0.72 | $0.00 |
DisclosureSEC source: 0001104659-17-061150 · a4.xml · derivative · entry 1 ADAMS THOMAS PHD · CIK 0001234366 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 412,955 Underlying: Common Stock · 38,106 shares Expires 2027-10-04 Read SEC document |
| September 02, 2017 Filed Sep 6, 2017 20:45 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | Exercise / conversionRestricted Stock Units · Derivative | 8,806 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-055892 · a4.xml · derivative · entry 2 ADAMS THOMAS PHD · CIK 0001234366 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,667 Underlying: Common Stock · 8,806 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: Each restricted stock unit is the economic equivalent of one share of Trovagene, Inc. common stock. F3 · derivative.exercise_date: On January 2, 2017, the reporting person was granted 8,806 restricted stock units, all of which vested on September 2, 2017. The common stock into which such vested restricted stock units converted on September 2, 2017 is reported in Table I on this Form 4. F3 · derivative.expiration_date: On January 2, 2017, the reporting person was granted 8,806 restricted stock units, all of which vested on September 2, 2017. The common stock into which such vested restricted stock units converted on September 2, 2017 is reported in Table I on this Form 4. Read SEC document |
| September 02, 2017 Filed Sep 6, 2017 20:45 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | Exercise / conversionCommon Stock | 8,806 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-055892 · a4.xml · nonDerivative · entry 1 ADAMS THOMAS PHD · CIK 0001234366 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 335,292 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Represents the conversion upon vesting of restricted stock units into common stock (the "Converted Common Stock"). On January 2, 2017, the reporting person was granted 8,806 restricted stock units, all of which vested on September 2, 2017. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on January 5, 2017. Read SEC document |
| June 28, 2017 Filed Jun 30, 2017 17:09 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | GrantStock Options · Derivative | 10,750 | $0.00 Strike: $1.40 | $0.00 |
DisclosureSEC source: 0001104659-17-043014 · a4.xml · derivative · entry 3 ADAMS THOMAS PHD · CIK 0001234366 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 420,496 Underlying: Common Stock · 10,750 shares Expires 2019-11-20 F1 · shares: The reported transactions with this same footnote involved an amendment of an outstanding option, resulting in the deemed cancellation of the old option and the grant of a replacement option. The old option was originally granted on November 20, 2009. The vesting schedule of the old option was reported on a Form 3 filed by the reporting person on August 3, 2011. Read SEC document |
| June 28, 2017 Filed Jun 30, 2017 17:09 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | Disposition to issuerStock Options · Derivative | 10,750 | $0.00 Strike: $1.40 | $0.00 |
DisclosureSEC source: 0001104659-17-043014 · a4.xml · derivative · entry 2 ADAMS THOMAS PHD · CIK 0001234366 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 409,746 Underlying: Common Stock · 10,750 shares Expires 2019-11-20 F1 · shares: The reported transactions with this same footnote involved an amendment of an outstanding option, resulting in the deemed cancellation of the old option and the grant of a replacement option. The old option was originally granted on November 20, 2009. The vesting schedule of the old option was reported on a Form 3 filed by the reporting person on August 3, 2011. F1 · derivative.exercise_date: The reported transactions with this same footnote involved an amendment of an outstanding option, resulting in the deemed cancellation of the old option and the grant of a replacement option. The old option was originally granted on November 20, 2009. The vesting schedule of the old option was reported on a Form 3 filed by the reporting person on August 3, 2011. Read SEC document |
| June 28, 2017 Filed Jun 30, 2017 17:09 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | GrantStock Options · Derivative | 62,500 | $0.00 Strike: $4.50 | $0.00 |
DisclosureSEC source: 0001104659-17-043014 · a4.xml · derivative · entry 1 ADAMS THOMAS PHD · CIK 0001234366 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 420,496 Underlying: Common Stock · 62,500 shares Expires 2027-06-28 Read SEC document |
| January 02, 2017 Filed Jan 4, 2017 17:01 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | GrantRestricted Stock Units · Derivative | 16,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-000633 · a4.xml · derivative · entry 1 ADAMS THOMAS PHD · CIK 0001234366 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,667 Underlying: Common Stock · 16,667 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Trovagene, Inc. common stock. F2 · derivative.exercise_date: The RSUs shall vest on January 2, 2018. F2 · derivative.expiration_date: The RSUs shall vest on January 2, 2018. Read SEC document |
| January 02, 2017 Filed Jan 5, 2017 16:58 UTC Amendment | Cardiff Oncology, Inc. TROV · Entity 6917 | GrantRestricted Stock Units · Derivative | 8,806 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-000963 · a4a.xml · derivative · entry 2 ADAMS THOMAS PHD · CIK 0001234366 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,473 Underlying: Common Stock · 8,806 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Trovagene, Inc. common stock. F3 · derivative.exercise_date: The RSUs shall vest on September 2, 2017. F3 · derivative.expiration_date: The RSUs shall vest on September 2, 2017. Read SEC document |
| January 02, 2017 Filed Jan 5, 2017 16:58 UTC Amendment | Cardiff Oncology, Inc. TROV · Entity 6917 | GrantRestricted Stock Units · Derivative | 16,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-000963 · a4a.xml · derivative · entry 1 ADAMS THOMAS PHD · CIK 0001234366 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,667 Underlying: Common Stock · 16,667 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Trovagene, Inc. common stock. F2 · derivative.exercise_date: The RSUs shall vest on January 2, 2018. F2 · derivative.expiration_date: The RSUs shall vest on January 2, 2018. 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.