Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| NeuBase Therapeutics, Inc.NBSE · Entity 109568 | Chief Scientific Officer | December 01, 2020 | December 02, 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.
NeuBase Therapeutics, Inc.
Report date December 01, 2020 · Filed December 02, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Employee stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.61 · Expires 2030-12-01 | Direct | 250,000 |
Reported balance
After 2020-12-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-12-01 · Grant · Acquired 250,000 · Balance 250,000 F1: 1/4th of the total shares shall vest on the first anniversary of the effective date of employment, and 1/36th of the remaining shares shall vest on a monthly basis starting on the first anniversary of the effective date of employment; provided that vesting shall only occur on a scheduled vesting date if employment has not terminated prior to such vesting date, inclusive. |
Filing footnotes · ownership attribution and instrument terms
F1: 1/4th of the total shares shall vest on the first anniversary of the effective date of employment, and 1/36th of the remaining shares shall vest on a monthly basis starting on the first anniversary of the effective date of employment; provided that vesting shall only occur on a scheduled vesting date if employment has not terminated prior to such vesting date, inclusive.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ARROWHEAD PHARMACEUTICALS, INC.
Report date November 19, 2020 · Filed November 23, 2020
Section 16 reporting ended · disclosed 2020-11-23. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 15,625 |
Reported balance
After 2020-11-19 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2020-11-19 · Sale · Disposed 15,625 · Balance 15,625 F1: Open market sale pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. The sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units. |
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2020-11-20 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2020-11-20 · Sale · Disposed 15,625 · Balance 0 F2: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.16 to $69.06, inclusive. The reporting person undertakes to provide to Arrowhead Pharmaceuticals, Inc., any security holder of Arrowhead Pharmaceuticals, 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 this footnote of this Form 4. F3: 93,750 restricted stock units previously reported have been removed from this amount of securities beneficially owned due to forfeiture. |
Filing footnotes · ownership attribution and instrument terms
F1: Open market sale pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. The sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units.
F2: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.16 to $69.06, inclusive. The reporting person undertakes to provide to Arrowhead Pharmaceuticals, Inc., any security holder of Arrowhead Pharmaceuticals, 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 this footnote of this Form 4.
F3: 93,750 restricted stock units previously reported have been removed from this amount of securities beneficially owned due to forfeiture.
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 01, 2020 Filed Dec 2, 2020 09:46 UTC | NeuBase Therapeutics, Inc. NBSE · Entity 109568 | GrantEmployee stock option (right to buy) · Derivative | 250,000 | $0.00 Strike: $7.61 | $0.00 |
DisclosureSEC source: 0001104659-20-131373 · tm2037471-2_4.xml · derivative · entry 1 Bradshaw Curt · CIK 0001794633 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common stock · 250,000 shares Expires 2030-12-01 F1 · derivative.exercise_date: 1/4th of the total shares shall vest on the first anniversary of the effective date of employment, and 1/36th of the remaining shares shall vest on a monthly basis starting on the first anniversary of the effective date of employment; provided that vesting shall only occur on a scheduled vesting date if employment has not terminated prior to such vesting date, inclusive. Read SEC document |
| November 20, 2020 Filed Nov 23, 2020 22:58 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 15,625 | $68.73 | $1,073,906.25 |
DisclosureSEC source: 0001209191-20-060047 · doc4.xml · nonDerivative · entry 2 Bradshaw Curt · CIK 0001794633 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · price: The price reported on Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $68.16 to $69.06, inclusive. The reporting person undertakes to provide to Arrowhead Pharmaceuticals, Inc., any security holder of Arrowhead Pharmaceuticals, 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 this footnote of this Form 4. F3 · balance_after: 93,750 restricted stock units previously reported have been removed from this amount of securities beneficially owned due to forfeiture. Read SEC document |
| November 19, 2020 Filed Nov 23, 2020 22:58 UTC | ARROWHEAD PHARMACEUTICALS, INC. ARWR · Entity 3472 | SaleCommon Stock | 15,625 | $69.39 | $1,084,218.75 |
DisclosureSEC source: 0001209191-20-060047 · doc4.xml · nonDerivative · entry 1 Bradshaw Curt · CIK 0001794633 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,625 F1 · kind: Open market sale pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. The sale was made to generate proceeds to cover the tax liability incident to the vesting of restricted stock units. 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.