Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Avid Bioservices, Inc.PPHM · Entity 83494 | Director | August 25, 2017 | August 29, 2017 |
| Mosaic ImmunoEngineering Inc.PTSCD · Entity 8636 | Director | December 16, 2020 | December 17, 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.
Avid Bioservices, Inc.
Report date August 25, 2017 · Filed August 29, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.17 · Expires 2025-05-11 | Direct | 254,189 |
Reported balance
After 2017-08-25 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-08-25 · Other · Disposed 20,024 · Balance 254,189 F1: Pursuant to the settlement terms of a derivative lawsuit approved by Vice Chancellor Laster by Order dated July 27, 2017 (the "Settlement Date"), Mr. Johnson has agreed to an annual compensation cap for a period of two years from the Settlement Date. Although not required, on August 25, 2017, Mr. Johnson voluntarily surrendered for cancelation and for no consideration, 20,024 options (originally granted on May 11, 2015) and 14,934 options (originally granted on June 2, 2016), which reduced his total annual compensation for fiscal years 2016 and 2017 to below the agreed upon cap. F2: The underlying option grant provided for vesting in eight (8) equal quarterly installments over a two (2) year period beginning August 11, 2015 and each quarter thereafter until fully-vested. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.50 · Expires 2026-06-02 | Direct | 239,255 |
Reported balance
After 2017-08-25 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-08-25 · Other · Disposed 14,934 · Balance 239,255 F1: Pursuant to the settlement terms of a derivative lawsuit approved by Vice Chancellor Laster by Order dated July 27, 2017 (the "Settlement Date"), Mr. Johnson has agreed to an annual compensation cap for a period of two years from the Settlement Date. Although not required, on August 25, 2017, Mr. Johnson voluntarily surrendered for cancelation and for no consideration, 20,024 options (originally granted on May 11, 2015) and 14,934 options (originally granted on June 2, 2016), which reduced his total annual compensation for fiscal years 2016 and 2017 to below the agreed upon cap. F3: The underlying option grant provided for vesting in eight (8) equal quarterly installments over a two (2) year period beginning September 2, 2016 and each quarter thereafter until fully-vested. |
Filing footnotes · ownership attribution and instrument terms
F1: Pursuant to the settlement terms of a derivative lawsuit approved by Vice Chancellor Laster by Order dated July 27, 2017 (the "Settlement Date"), Mr. Johnson has agreed to an annual compensation cap for a period of two years from the Settlement Date. Although not required, on August 25, 2017, Mr. Johnson voluntarily surrendered for cancelation and for no consideration, 20,024 options (originally granted on May 11, 2015) and 14,934 options (originally granted on June 2, 2016), which reduced his total annual compensation for fiscal years 2016 and 2017 to below the agreed upon cap.
F2: The underlying option grant provided for vesting in eight (8) equal quarterly installments over a two (2) year period beginning August 11, 2015 and each quarter thereafter until fully-vested.
F3: The underlying option grant provided for vesting in eight (8) equal quarterly installments over a two (2) year period beginning September 2, 2016 and each quarter thereafter until fully-vested.
Mosaic ImmunoEngineering Inc.
Report date December 16, 2020 · Filed December 17, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 26,087 |
Reported balance
After 2020-12-16 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-12-16 · Grant · Acquired 26,087 · Balance 26,087 F1: Each Restricted Stock Unit ("RSU") represents the contingent right to receive, upon vesting, one share of the Issuer's Common Stock. F2: RSU's granted under the Mosaic ImmunoEngineering Inc. 2020 Omnibus Incentive Plan for non-employee Board compensation. RSUs will vest 100% on December 16, 2021, subject to the reporting person's continuous service to the Issuer on such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Each Restricted Stock Unit ("RSU") represents the contingent right to receive, upon vesting, one share of the Issuer's Common Stock.
F2: RSU's granted under the Mosaic ImmunoEngineering Inc. 2020 Omnibus Incentive Plan for non-employee Board compensation. RSUs will vest 100% on December 16, 2021, subject to the reporting person's continuous service to the Issuer on such vesting 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 |
|---|---|---|---|---|---|---|
| December 16, 2020 Filed Dec 17, 2020 01:17 UTC | Mosaic ImmunoEngineering Inc. PTSCD · Entity 8636 | GrantRestricted Stock Units · Derivative | 26,087 | $3.30 | $86,087.10 |
DisclosureSEC source: 0001683168-20-004322 · ownership.xml · derivative · entry 1 JOHNSON CARLTON M · CIK 0001244103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,087 Underlying: Common Stock · 26,087 shares Expires not disclosed F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents the contingent right to receive, upon vesting, one share of the Issuer's Common Stock. F2 · derivative.expiration_date: RSU's granted under the Mosaic ImmunoEngineering Inc. 2020 Omnibus Incentive Plan for non-employee Board compensation. RSUs will vest 100% on December 16, 2021, subject to the reporting person's continuous service to the Issuer on such vesting date. Read SEC document |
| August 25, 2017 Filed Aug 29, 2017 17:15 UTC | Avid Bioservices, Inc. PPHM · Entity 83494 | OtherStock Option (right to buy) · Derivative | 14,934 | $0.00 Strike: $3.50 | $0.00 |
DisclosureSEC source: 0001683168-17-002241 · johnson_frm4.xml · derivative · entry 2 JOHNSON CARLTON M · CIK 0001244103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 239,255 Underlying: Common Stock · 14,934 shares Expires 2026-06-02 F1 · shares: Pursuant to the settlement terms of a derivative lawsuit approved by Vice Chancellor Laster by Order dated July 27, 2017 (the "Settlement Date"), Mr. Johnson has agreed to an annual compensation cap for a period of two years from the Settlement Date. Although not required, on August 25, 2017, Mr. Johnson voluntarily surrendered for cancelation and for no consideration, 20,024 options (originally granted on May 11, 2015) and 14,934 options (originally granted on June 2, 2016), which reduced his total annual compensation for fiscal years 2016 and 2017 to below the agreed upon cap. F3 · derivative.exercise_date: The underlying option grant provided for vesting in eight (8) equal quarterly installments over a two (2) year period beginning September 2, 2016 and each quarter thereafter until fully-vested. Read SEC document |
| August 25, 2017 Filed Aug 29, 2017 17:15 UTC | Avid Bioservices, Inc. PPHM · Entity 83494 | OtherStock Option (right to buy) · Derivative | 20,024 | $0.00 Strike: $9.17 | $0.00 |
DisclosureSEC source: 0001683168-17-002241 · johnson_frm4.xml · derivative · entry 1 JOHNSON CARLTON M · CIK 0001244103 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 254,189 Underlying: Common Stock · 20,024 shares Expires 2025-05-11 F1 · shares: Pursuant to the settlement terms of a derivative lawsuit approved by Vice Chancellor Laster by Order dated July 27, 2017 (the "Settlement Date"), Mr. Johnson has agreed to an annual compensation cap for a period of two years from the Settlement Date. Although not required, on August 25, 2017, Mr. Johnson voluntarily surrendered for cancelation and for no consideration, 20,024 options (originally granted on May 11, 2015) and 14,934 options (originally granted on June 2, 2016), which reduced his total annual compensation for fiscal years 2016 and 2017 to below the agreed upon cap. F2 · derivative.exercise_date: The underlying option grant provided for vesting in eight (8) equal quarterly installments over a two (2) year period beginning August 11, 2015 and each quarter thereafter until fully-vested. 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.