Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Alaunos Therapeutics, Inc.ZIOP · Entity 8339 | Chief Legal Officer and Sec. | March 04, 2021 | March 08, 2021 |
| Decoy Therapeutics Inc.FLKS · Entity 937 | General Counsel & Secretary | January 18, 2017 | January 20, 2017 |
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.
Alaunos Therapeutics, Inc.
Report date March 04, 2021 · Filed March 08, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 176,819 |
Reported balance
After 2021-03-04 transaction · row 1
1 source rowRow 1 · 2021-03-04 · Grant · Acquired 43,500 · Balance 176,819 F1: 10,875 shares shall vest on each of 12/31/2021, 12/31/2022, 12/31/2023 and 12/31/2024. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.31 · Expires 2031-03-04 | Direct | 326,250 |
Reported balance
After 2021-03-04 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-03-04 · Grant · Acquired 326,250 · Balance 326,250 F2: 1/16th of the shares underlying this option will vest in equal quarterly installments commencing one quarterly period after 12/31/2020. |
Filing footnotes · ownership attribution and instrument terms
F1: 10,875 shares shall vest on each of 12/31/2021, 12/31/2022, 12/31/2023 and 12/31/2024.
F2: 1/16th of the shares underlying this option will vest in equal quarterly installments commencing one quarterly period after 12/31/2020.
Decoy Therapeutics Inc.
Report date January 18, 2017 · Filed January 20, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.58 · Expires 2027-01-18 | Direct | 57,000 |
Reported balance
After 2017-01-18 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-01-18 · Grant · Acquired 57,000 · Balance 57,000 F1: The stock option will vest in 48 successive equal monthly installments measured from January 18, 2017. |
Filing footnotes · ownership attribution and instrument terms
F1: The stock option will vest in 48 successive equal monthly installments measured from January 18, 2017.
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 |
|---|---|---|---|---|---|---|
| March 04, 2021 Filed Mar 8, 2021 22:29 UTC | Alaunos Therapeutics, Inc. ZIOP · Entity 8339 | GrantEmployee Stock Option (right to buy) · Derivative | 326,250 | $0.00 Strike: $4.31 | $0.00 |
DisclosureSEC source: 0001209191-21-018630 · doc4.xml · derivative · entry 2 Hadfield Robert · CIK 0001630687 · Chief Legal Officer and Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 326,250 Underlying: Common Stock · 326,250 shares Expires 2031-03-04 F2 · derivative.exercise_date: 1/16th of the shares underlying this option will vest in equal quarterly installments commencing one quarterly period after 12/31/2020. Read SEC document |
| March 04, 2021 Filed Mar 8, 2021 22:29 UTC | Alaunos Therapeutics, Inc. ZIOP · Entity 8339 | GrantCommon Stock | 43,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-018630 · doc4.xml · nonDerivative · entry 1 Hadfield Robert · CIK 0001630687 · Chief Legal Officer and Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 176,819 F1 · shares: 10,875 shares shall vest on each of 12/31/2021, 12/31/2022, 12/31/2023 and 12/31/2024. Read SEC document |
| January 08, 2021 Filed Jan 12, 2021 21:33 UTC | Alaunos Therapeutics, Inc. ZIOP · Entity 8339 | SaleCommon Stock | 26,500 | $3.12 | $82,680.00 |
DisclosureSEC source: 0001209191-21-003242 · doc4.xml · nonDerivative · entry 1 Hadfield Robert · CIK 0001630687 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,319 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person to satisfy withholding tax obligations upon the vesting of restricted stock grants. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.035 to $3.195, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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 range set forth in this footnote. Read SEC document |
| January 29, 2020 Filed Jan 31, 2020 21:48 UTC | Alaunos Therapeutics, Inc. ZIOP · Entity 8339 | GrantEmployee Stock Option (right to buy) · Derivative | 90,800 | $0.00 Strike: $4.21 | $0.00 |
DisclosureSEC source: 0001209191-20-005783 · doc4.xml · derivative · entry 2 Hadfield Robert · CIK 0001630687 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,800 Underlying: Common Stock · 90,800 shares Expires 2030-01-29 F2 · derivative.exercise_date: 1/12th of the shares underlying this option will vest in equal quarterly installments commencing one quarterly period after 12/31/2019. Read SEC document |
| January 29, 2020 Filed Jan 31, 2020 21:48 UTC | Alaunos Therapeutics, Inc. ZIOP · Entity 8339 | GrantCommon Stock | 59,100 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-005783 · doc4.xml · nonDerivative · entry 1 Hadfield Robert · CIK 0001630687 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,819 F1 · shares: 19,700 shares shall vest on each of 12/31/2020, 12/31/2021 and 12/31/2022. Read SEC document |
| January 02, 2020 Filed Jan 3, 2020 22:07 UTC | Alaunos Therapeutics, Inc. ZIOP · Entity 8339 | SaleCommon Stock | 16,853 | $4.55 | $76,681.15 |
DisclosureSEC source: 0001209191-20-001173 · doc4.xml · nonDerivative · entry 1 Hadfield Robert · CIK 0001630687 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,719 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person to satisfy withholding tax obligations upon the vesting of restricted stock grants. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.46 to $4.68, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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 range set forth in this footnote. Read SEC document |
| January 06, 2019 Filed Jan 8, 2019 21:25 UTC | Alaunos Therapeutics, Inc. ZIOP · Entity 8339 | GrantEmployee Stock Option (right to buy) · Derivative | 185,391 | $0.00 Strike: $2.24 | $0.00 |
DisclosureSEC source: 0001209191-19-002782 · doc4.xml · derivative · entry 2 Hadfield Robert · CIK 0001630687 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 185,391 Underlying: Common Stock · 185,391 shares Expires 2029-01-06 F2 · derivative.exercise_date: 1/12th of the shares underlying this option will vest in equal quarterly installments commencing one quarterly period after 12/31/2018. Read SEC document |
| January 06, 2019 Filed Jan 8, 2019 21:25 UTC | Alaunos Therapeutics, Inc. ZIOP · Entity 8339 | GrantCommon Stock | 117,572 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-002782 · doc4.xml · nonDerivative · entry 1 Hadfield Robert · CIK 0001630687 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,572 F1 · shares: 39,191 shares shall vest on each of 12/31/2019 and 12/31/2020, and 39,190 shares shall vest on 12/31/2021. Read SEC document |
| April 25, 2018 Filed Apr 27, 2018 21:21 UTC | Alaunos Therapeutics, Inc. ZIOP · Entity 8339 | GrantEmployee Stock Option (Right to Buy) · Derivative | 150,000 | $0.00 Strike: $4.32 | $0.00 |
DisclosureSEC source: 0001209191-18-026654 · doc4.xml · derivative · entry 1 Hadfield Robert · CIK 0001630687 · General Counsel and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2028-04-25 F1 · derivative.exercise_date: 50,000 shares shall vest on each of 4/25/2019, 4/25/2020 and 4/25/2021. Read SEC document |
| January 18, 2017 Filed Jan 20, 2017 14:02 UTC | Decoy Therapeutics Inc. FLKS · Entity 937 | GrantStock Option (right to buy) · Derivative | 57,000 | $0.00 Strike: $4.58 | $0.00 |
DisclosureSEC source: 0001615219-17-000007 · wf-form4_148492096383173.xml · derivative · entry 1 Hadfield Robert · CIK 0001630687 · General Counsel & Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,000 Underlying: Common Stock · 57,000 shares Expires 2027-01-18 F1 · derivative.exercise_date: The stock option will vest in 48 successive equal monthly installments measured from January 18, 2017. 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.