Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ORAGENICS INCOGEN · Entity 8495 | Director · CEO and President | February 18, 2021 | February 19, 2021 |
| SYNERGY PHARMACEUTICALS, INC.SGYP · Entity 164269 | Director | June 16, 2018 | June 19, 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.
ORAGENICS INC
Report date February 18, 2021 · Filed February 19, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.20 · Expires 2031-02-18 | Direct | 400,000 |
Reported balance
After 2021-02-18 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-02-18 · Grant · Acquired 400,000 · Balance 400,000 F1: Represents an annual award of options to purchase shares of the Company's common stock under the Company's 2012 Equity Incentive Plan, as amended that vest evenly in three tranches. One third of the options vest on the first anniversary of the grant date, the second third of the options vest on the second anniversary of the grant date and the final third vest on the third anniversary of the grant date. The option exercise price is the closing price on the date of the grant, February 18, 2021. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents an annual award of options to purchase shares of the Company's common stock under the Company's 2012 Equity Incentive Plan, as amended that vest evenly in three tranches. One third of the options vest on the first anniversary of the grant date, the second third of the options vest on the second anniversary of the grant date and the final third vest on the third anniversary of the grant date. The option exercise price is the closing price on the date of the grant, February 18, 2021.
SYNERGY PHARMACEUTICALS, INC.
Report date June 16, 2018 · Filed June 19, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $1.80 · Expires 2028-06-16 | Direct | 436,770 |
Reported balance
After 2018-06-16 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-06-16 · Grant · Acquired 114,750 · Balance 436,770 F1: Represents the annual grant of stock options to each outside independent board member of the issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the annual grant of stock options to each outside independent board member of the issuer.
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 |
|---|---|---|---|---|---|---|
| February 18, 2021 Filed Feb 19, 2021 21:35 UTC | ORAGENICS INC OGEN · Entity 8495 | GrantEmployee Stock Option (Right to Buy) · Derivative | 400,000 | $0.00 Strike: $1.20 | $0.00 |
DisclosureSEC source: 0001493152-21-004421 · ownership.xml · derivative · entry 1 Joslyn Alan · CIK 0001294887 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400,000 Underlying: Common Stock · 400,000 shares Expires 2031-02-18 F1 · security: Represents an annual award of options to purchase shares of the Company's common stock under the Company's 2012 Equity Incentive Plan, as amended that vest evenly in three tranches. One third of the options vest on the first anniversary of the grant date, the second third of the options vest on the second anniversary of the grant date and the final third vest on the third anniversary of the grant date. The option exercise price is the closing price on the date of the grant, February 18, 2021. F1 · shares: Represents an annual award of options to purchase shares of the Company's common stock under the Company's 2012 Equity Incentive Plan, as amended that vest evenly in three tranches. One third of the options vest on the first anniversary of the grant date, the second third of the options vest on the second anniversary of the grant date and the final third vest on the third anniversary of the grant date. The option exercise price is the closing price on the date of the grant, February 18, 2021. F1 · derivative.exercise_date: Represents an annual award of options to purchase shares of the Company's common stock under the Company's 2012 Equity Incentive Plan, as amended that vest evenly in three tranches. One third of the options vest on the first anniversary of the grant date, the second third of the options vest on the second anniversary of the grant date and the final third vest on the third anniversary of the grant date. The option exercise price is the closing price on the date of the grant, February 18, 2021. F1 · balance_after: Represents an annual award of options to purchase shares of the Company's common stock under the Company's 2012 Equity Incentive Plan, as amended that vest evenly in three tranches. One third of the options vest on the first anniversary of the grant date, the second third of the options vest on the second anniversary of the grant date and the final third vest on the third anniversary of the grant date. The option exercise price is the closing price on the date of the grant, February 18, 2021. Read SEC document |
| May 14, 2020 Filed May 15, 2020 20:30 UTC | ORAGENICS INC OGEN · Entity 8495 | OtherSeries 1 Common Stock Warrants (right to buy) · Derivative | 33,333 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001493152-20-009138 · ownership.xml · derivative · entry 1 Joslyn Alan · CIK 0001294887 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 33,333 shares Expires 2020-05-14 F1 · security: Represents the expiration of an unexercised outstanding Warrant in accordance with its terms. F1 · shares: Represents the expiration of an unexercised outstanding Warrant in accordance with its terms. F1 · derivative.underlying_shares: Represents the expiration of an unexercised outstanding Warrant in accordance with its terms. Read SEC document |
| February 05, 2020 Filed Feb 7, 2020 21:11 UTC | ORAGENICS INC OGEN · Entity 8495 | GrantEmployee Stock Option (Right to Buy) · Derivative | 400,000 | $0.00 Strike: $0.48 | $0.00 |
DisclosureSEC source: 0001493152-20-001774 · ownership.xml · derivative · entry 2 Joslyn Alan · CIK 0001294887 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400,000 Underlying: Common Stock · 400,000 shares Expires 2030-02-05 F2 · security: Represents a retention grant of award of options to purchase shares of the Company's common stock under the Company's Plan that vest evenly in three tranches. One third of the options vest on the first anniversary of the grant date, the second third of the options vest on the second anniversary of the grant date and the final third vest t on the third anniversary of the grant date. The option exercise price is the closing price on the date of the grant, February 5, 2020. F2 · shares: Represents a retention grant of award of options to purchase shares of the Company's common stock under the Company's Plan that vest evenly in three tranches. One third of the options vest on the first anniversary of the grant date, the second third of the options vest on the second anniversary of the grant date and the final third vest t on the third anniversary of the grant date. The option exercise price is the closing price on the date of the grant, February 5, 2020. F2 · derivative.exercise_date: Represents a retention grant of award of options to purchase shares of the Company's common stock under the Company's Plan that vest evenly in three tranches. One third of the options vest on the first anniversary of the grant date, the second third of the options vest on the second anniversary of the grant date and the final third vest t on the third anniversary of the grant date. The option exercise price is the closing price on the date of the grant, February 5, 2020. F2 · balance_after: Represents a retention grant of award of options to purchase shares of the Company's common stock under the Company's Plan that vest evenly in three tranches. One third of the options vest on the first anniversary of the grant date, the second third of the options vest on the second anniversary of the grant date and the final third vest t on the third anniversary of the grant date. The option exercise price is the closing price on the date of the grant, February 5, 2020. Read SEC document |
| February 05, 2020 Filed Feb 7, 2020 21:11 UTC | ORAGENICS INC OGEN · Entity 8495 | GrantEmployee Stock Option (Right to Buy) · Derivative | 400,000 | $0.00 Strike: $0.48 | $0.00 |
DisclosureSEC source: 0001493152-20-001774 · ownership.xml · derivative · entry 1 Joslyn Alan · CIK 0001294887 · Director · CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400,000 Underlying: Common Stock · 400,000 shares Expires 2030-02-05 F1 · security: Represents an annual grant of award of options to purchase shares of the Company's common stock under the Company's 2012 Equity Incentive Plan, as amended (the "Plan") that vests immediately. F1 · shares: Represents an annual grant of award of options to purchase shares of the Company's common stock under the Company's 2012 Equity Incentive Plan, as amended (the "Plan") that vests immediately. F1 · derivative.exercise_date: Represents an annual grant of award of options to purchase shares of the Company's common stock under the Company's 2012 Equity Incentive Plan, as amended (the "Plan") that vests immediately. F1 · balance_after: Represents an annual grant of award of options to purchase shares of the Company's common stock under the Company's 2012 Equity Incentive Plan, as amended (the "Plan") that vests immediately. Read SEC document |
| March 25, 2019 Filed Mar 27, 2019 20:05 UTC | ORAGENICS INC OGEN · Entity 8495 | PurchaseSeries 2 Common Stock Warrants (right to buy) · Derivative | 33,333 | Not disclosed Strike: $0.90 | Not disclosed |
DisclosureSEC source: 0000899243-19-009015 · doc4.xml · derivative · entry 3 Joslyn Alan · CIK 0001294887 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 33,333 shares Expires 2024-03-25 F1 · price: Purchase of Units consisting of one share of common stock and Series 1 Warrant to purchase one-half of a share of our Common Stock (exercisable through the earlier of 20 days post read out of AG013 clinical trial data or eighteen months) and a Series 2 Warrant to purchase one-half of a share of our Common Stock in an underwritten public offering at the price of $0.75 per Unit, which was the price paid by the public for such Units. Read SEC document |
| March 25, 2019 Filed Mar 27, 2019 20:05 UTC | ORAGENICS INC OGEN · Entity 8495 | PurchaseSeries 1 Common Stock Warrants (right to buy) · Derivative | 33,333 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000899243-19-009015 · doc4.xml · derivative · entry 2 Joslyn Alan · CIK 0001294887 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 33,333 shares Expires 2020-09-25 F1 · price: Purchase of Units consisting of one share of common stock and Series 1 Warrant to purchase one-half of a share of our Common Stock (exercisable through the earlier of 20 days post read out of AG013 clinical trial data or eighteen months) and a Series 2 Warrant to purchase one-half of a share of our Common Stock in an underwritten public offering at the price of $0.75 per Unit, which was the price paid by the public for such Units. F1 · derivative.expiration_date: Purchase of Units consisting of one share of common stock and Series 1 Warrant to purchase one-half of a share of our Common Stock (exercisable through the earlier of 20 days post read out of AG013 clinical trial data or eighteen months) and a Series 2 Warrant to purchase one-half of a share of our Common Stock in an underwritten public offering at the price of $0.75 per Unit, which was the price paid by the public for such Units. Read SEC document |
| March 25, 2019 Filed Mar 27, 2019 20:05 UTC | ORAGENICS INC OGEN · Entity 8495 | PurchaseCommon Stock | 66,667 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-19-009015 · doc4.xml · nonDerivative · entry 1 Joslyn Alan · CIK 0001294887 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,667 F1 · price: Purchase of Units consisting of one share of common stock and Series 1 Warrant to purchase one-half of a share of our Common Stock (exercisable through the earlier of 20 days post read out of AG013 clinical trial data or eighteen months) and a Series 2 Warrant to purchase one-half of a share of our Common Stock in an underwritten public offering at the price of $0.75 per Unit, which was the price paid by the public for such Units. Read SEC document |
| September 27, 2018 Filed Oct 1, 2018 20:05 UTC | ORAGENICS INC OGEN · Entity 8495 | GrantEmployee Stock Option (Right to Buy) · Derivative | 400,000 | $0.00 Strike: $0.73 | $0.00 |
DisclosureSEC source: 0000899243-18-025657 · doc4.xml · derivative · entry 1 Joslyn Alan · CIK 0001294887 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400,000 Underlying: Common Stock · 400,000 shares Expires 2028-09-27 F1 · security: Represents an award of options to purchase shares of the Company's common stock under the Company's 2012 Equity Incentive Plan, as amended that vest evenly in three tranches. One third of the options vest immediately, the second third of the options vest on the first anniversary of the grant date and the final third vest on the second anniversary of the grant date. The option exercise price is the closing price on the date of the grant, September 27, 2018. F1 · shares: Represents an award of options to purchase shares of the Company's common stock under the Company's 2012 Equity Incentive Plan, as amended that vest evenly in three tranches. One third of the options vest immediately, the second third of the options vest on the first anniversary of the grant date and the final third vest on the second anniversary of the grant date. The option exercise price is the closing price on the date of the grant, September 27, 2018. F1 · derivative.exercise_date: Represents an award of options to purchase shares of the Company's common stock under the Company's 2012 Equity Incentive Plan, as amended that vest evenly in three tranches. One third of the options vest immediately, the second third of the options vest on the first anniversary of the grant date and the final third vest on the second anniversary of the grant date. The option exercise price is the closing price on the date of the grant, September 27, 2018. F1 · balance_after: Represents an award of options to purchase shares of the Company's common stock under the Company's 2012 Equity Incentive Plan, as amended that vest evenly in three tranches. One third of the options vest immediately, the second third of the options vest on the first anniversary of the grant date and the final third vest on the second anniversary of the grant date. The option exercise price is the closing price on the date of the grant, September 27, 2018. Read SEC document |
| June 22, 2018 Filed Jun 26, 2018 20:24 UTC | ORAGENICS INC OGEN · Entity 8495 | GrantEmployee Stock Option (Right to Buy) · Derivative | 28,000 | $0.00 Strike: $1.52 | $0.00 |
DisclosureSEC source: 0000899243-18-018140 · doc4.xml · derivative · entry 1 Joslyn Alan · CIK 0001294887 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,000 Underlying: Common Stock · 28,000 shares Expires 2028-06-22 F1 · security: Represents an award of options to purchase shares of the Company's common stock under the Company's 2012 Equity Incentive Plan, that vest on the first anniversary of the grant date. The option exercise price is the closing price on the date of the grant, June 22, 2018. F1 · shares: Represents an award of options to purchase shares of the Company's common stock under the Company's 2012 Equity Incentive Plan, that vest on the first anniversary of the grant date. The option exercise price is the closing price on the date of the grant, June 22, 2018. F1 · balance_after: Represents an award of options to purchase shares of the Company's common stock under the Company's 2012 Equity Incentive Plan, that vest on the first anniversary of the grant date. The option exercise price is the closing price on the date of the grant, June 22, 2018. Read SEC document |
| June 16, 2018 Filed Jun 19, 2018 16:30 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | GrantStock Options · Derivative | 114,750 | $0.00 Strike: $1.80 | $0.00 |
DisclosureSEC source: 0001104659-18-041062 · a4.xml · derivative · entry 1 Joslyn Alan · CIK 0001294887 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 436,770 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 |
| June 28, 2017 Filed Jun 30, 2017 17:08 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | GrantStock Options · Derivative | 26,500 | $0.00 Strike: $1.40 | $0.00 |
DisclosureSEC source: 0001104659-17-043011 · a4.xml · derivative · entry 3 Joslyn Alan · CIK 0001294887 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 321,520 Underlying: Common Stock · 26,500 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 17:08 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | Disposition to issuerStock Options · Derivative | 26,500 | $0.00 Strike: $1.40 | $0.00 |
DisclosureSEC source: 0001104659-17-043011 · a4.xml · derivative · entry 2 Joslyn Alan · CIK 0001294887 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 295,020 Underlying: Common Stock · 26,500 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 17:08 UTC | SYNERGY PHARMACEUTICALS, INC. SGYP · Entity 164269 | GrantStock Options · Derivative | 62,500 | $0.00 Strike: $4.50 | $0.00 |
DisclosureSEC source: 0001104659-17-043011 · a4.xml · derivative · entry 1 Joslyn Alan · CIK 0001294887 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 321,520 Underlying: Common Stock · 62,500 shares Expires 2027-06-28 Read SEC document |
| June 22, 2017 Filed Jun 26, 2017 19:27 UTC | ORAGENICS INC OGEN.BC · Entity 8495 | GrantEmployee Director Option (Right to Buy) · Derivative | 140,000 | $0.00 Strike: $0.37 | $0.00 |
DisclosureSEC source: 0000899243-17-017197 · doc4.xml · derivative · entry 1 Joslyn Alan · CIK 0001294887 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,000 Underlying: Common Stock · 140,000 shares Expires 2027-06-22 F1 · security: Represents an award of options to purchase shares of the Company's common stock under the Company's 2012 Equity Incentive Plan, that vest equally over three years commencing on the first anniversary of the grant date. The option exercise price is the closing price on the date of the grant, June 22, 2017. F1 · shares: Represents an award of options to purchase shares of the Company's common stock under the Company's 2012 Equity Incentive Plan, that vest equally over three years commencing on the first anniversary of the grant date. The option exercise price is the closing price on the date of the grant, June 22, 2017. F1 · balance_after: Represents an award of options to purchase shares of the Company's common stock under the Company's 2012 Equity Incentive Plan, that vest equally over three years commencing on the first anniversary of the grant date. The option exercise price is the closing price on the date of the grant, June 22, 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.