Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Evofem Biosciences, Inc.NEOT · Entity 8607 | Director | June 20, 2017 | June 21, 2017 |
| Sientra, Inc.SIEN · Entity 108294 | Director · Chairman of the Board and CEO | May 01, 2020 | May 18, 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.
Evofem Biosciences, Inc.
Report date June 20, 2017 · Filed June 21, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.19 · Expires 2027-06-20 | Direct | 12,450 |
Reported balance
After 2017-06-20 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-06-20 · Grant · Acquired 12,450 · Balance 12,450 F1: Option shares fully vest on the earlier of (i) June 20, 2018, (ii) the day preceding the Issuer's annual meeting of stockholders held in 2018, or (iii) immediately prior to a change of control as contemplated by the Issuer's 2014 Equity Incentive Plan. |
Filing footnotes · ownership attribution and instrument terms
F1: Option shares fully vest on the earlier of (i) June 20, 2018, (ii) the day preceding the Issuer's annual meeting of stockholders held in 2018, or (iii) immediately prior to a change of control as contemplated by the Issuer's 2014 Equity Incentive Plan.
Sientra, Inc.
Report date May 01, 2020 · Filed May 18, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 200,511 |
Reported balance
After 2020-05-01 transaction · row 1
1 source rowRow 1 · 2020-05-01 · Tax withholding · Disposed 9,315 · Balance 200,511 F1: Disposition to the Issuer of shares to satisfy the Reporting Person's tax withholding obligation upon the vesting of 22,500 Restricted Stock Units (RSUs) which is exempt under Rule 16b-3. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposition to the Issuer of shares to satisfy the Reporting Person's tax withholding obligation upon the vesting of 22,500 Restricted Stock Units (RSUs) which is exempt under Rule 16b-3.
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 |
|---|---|---|---|---|---|---|
| May 01, 2020 Filed May 18, 2020 19:55 UTC | Sientra, Inc. SIEN · Entity 108294 | Tax withholdingCommon Stock | 9,315 | $2.52 | $23,473.80 |
DisclosureSEC source: 0001209191-20-030256 · doc4.xml · nonDerivative · entry 1 Nugent Jeffrey M · CIK 0001455940 · Director · Chairman of the Board and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,511 F1 · shares: Disposition to the Issuer of shares to satisfy the Reporting Person's tax withholding obligation upon the vesting of 22,500 Restricted Stock Units (RSUs) which is exempt under Rule 16b-3. Read SEC document |
| February 20, 2020 Filed Feb 20, 2020 20:10 UTC | Sientra, Inc. SIEN · Entity 108294 | SaleCommon Stock | 63,557 | $5.91 | $375,367.64 |
DisclosureSEC source: 0001209191-20-011323 · doc4.xml · nonDerivative · entry 3 Nugent Jeffrey M · CIK 0001455940 · Director · Chairman of the Board and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 209,826 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. Sales pursuant to the plan will cover taxes and fees incurred in connection with the prior vesting of the Reporting Person's RSUs previously reported by the Reporting Person on a Form 4. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.81 to $6.00, inclusive. The Reporting Person undertakes to provide to Sientra, Inc., any security holder of Sientra, 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 range set forth in this footnote to this Form 4. Read SEC document |
| February 19, 2020 Filed Feb 20, 2020 20:10 UTC | Sientra, Inc. SIEN · Entity 108294 | SaleCommon Stock | 53,513 | $5.93 | $317,112.69 |
DisclosureSEC source: 0001209191-20-011323 · doc4.xml · nonDerivative · entry 2 Nugent Jeffrey M · CIK 0001455940 · Director · Chairman of the Board and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 273,383 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. Sales pursuant to the plan will cover taxes and fees incurred in connection with the prior vesting of the Reporting Person's RSUs previously reported by the Reporting Person on a Form 4. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.86 to $6.08, inclusive. The Reporting Person undertakes to provide to Sientra, Inc., any security holder of Sientra, 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 range set forth in this footnote to this Form 4. Read SEC document |
| February 18, 2020 Filed Feb 20, 2020 20:10 UTC | Sientra, Inc. SIEN · Entity 108294 | SaleCommon Stock | 16,506 | $6.00 | $98,960.07 |
DisclosureSEC source: 0001209191-20-011323 · doc4.xml · nonDerivative · entry 1 Nugent Jeffrey M · CIK 0001455940 · Director · Chairman of the Board and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 326,896 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. Sales pursuant to the plan will cover taxes and fees incurred in connection with the prior vesting of the Reporting Person's RSUs previously reported by the Reporting Person on a Form 4. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.94 to $6.08, inclusive. The Reporting Person undertakes to provide to Sientra, Inc., any security holder of Sientra, 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 range set forth in this footnote to this Form 4. Read SEC document |
| May 13, 2019 Filed May 15, 2019 20:50 UTC | Sientra, Inc. SIEN · Entity 108294 | Tax withholdingCommon Stock | 569 | $6.65 | $3,783.85 |
DisclosureSEC source: 0001209191-19-030198 · doc4.xml · nonDerivative · entry 1 Nugent Jeffrey M · CIK 0001455940 · Director · Chairman of the Board and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 343,402 F1 · shares: Disposition to the Issuer of shares to satisfy the Reporting Person's tax withholding obligation upon the vesting of 1,125 Restricted Stock Units (RSUs) which is exempt under Rule 16b-3. Read SEC document |
| April 05, 2019 Filed Apr 9, 2019 21:15 UTC | Sientra, Inc. SIEN · Entity 108294 | GrantCommon Stock (RSUs) | 67,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-024179 · doc4.xml · nonDerivative · entry 1 Nugent Jeffrey M · CIK 0001455940 · Director · Chairman of the Board and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 343,971 F1 · shares: The Restricted Stock Units (RSUs) vest over three (3) years as follows: one-third (1/3) shall vest on May 1, 2020, one-third (1/3) shall vest on May 3, 2021, and the remaining one-third (1/3) shall vest on May 2, 2022, subject to the Reporting Person's continued Service (as defined in the Sientra, Inc. 2014 Equity Incentive Plan) with the Issuer. Read SEC document |
| February 12, 2019 Filed Feb 14, 2019 20:55 UTC | Sientra, Inc. SIEN · Entity 108294 | Tax withholdingCommon Stock | 382 | $10.66 | $4,072.12 |
DisclosureSEC source: 0001209191-19-010467 · doc4.xml · nonDerivative · entry 1 Nugent Jeffrey M · CIK 0001455940 · Director · Chairman of the Board and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 276,471 F1 · shares: Disposition to the Issuer of shares to satisfy the Reporting Person's tax withholding obligation upon the vesting of 1,125 Restricted Stock Units (RSUs) which is exempt under Rule 16b-3. Read SEC document |
| January 22, 2019 Filed Jan 24, 2019 21:25 UTC | Sientra, Inc. SIEN · Entity 108294 | Tax withholdingCommon Stock | 13,361 | $12.35 | $165,008.35 |
DisclosureSEC source: 0001209191-19-005269 · doc4.xml · nonDerivative · entry 1 Nugent Jeffrey M · CIK 0001455940 · Director · Chairman of the Board and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 276,853 F1 · shares: Disposition to the Issuer of shares to satisfy the Reporting Person's tax withholding obligation upon the vesting of 39,333 Restricted Stock Units (RSUs) which is exempt under Rule 16b-3. Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 20:30 UTC | Sientra, Inc. SIEN · Entity 108294 | Tax withholdingCommon Stock | 7,396 | $13.64 | $100,881.44 |
DisclosureSEC source: 0001209191-19-002355 · doc4.xml · nonDerivative · entry 1 Nugent Jeffrey M · CIK 0001455940 · Director · Chairman of the Board and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 290,214 F1 · shares: Disposition to the Issuer of shares to satisfy the Reporting Person's tax withholding obligation upon the vesting of 20,000 Restricted Stock Units (RSUs) which is exempt under Rule 16b-3. Read SEC document |
| November 12, 2018 Filed Nov 14, 2018 21:10 UTC | Sientra, Inc. SIEN · Entity 108294 | Tax withholdingCommon Stock | 389 | $17.61 | $6,850.29 |
DisclosureSEC source: 0001209191-18-058652 · doc4.xml · nonDerivative · entry 1 Nugent Jeffrey M · CIK 0001455940 · Director · Chairman of the Board and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 297,610 F1 · shares: Disposition to the Issuer of shares to satisfy the Reporting Person's tax withholding obligation upon the vesting of 1,125 Restricted Stock Units (RSUs) which is exempt under Rule 16b-3. Read SEC document |
| August 31, 2018 Filed Sep 5, 2018 21:00 UTC | Sientra, Inc. SIEN · Entity 108294 | SaleCommon Stock | 1,852 | $24.90 | $46,114.80 |
DisclosureSEC source: 0001209191-18-049730 · doc4.xml · nonDerivative · entry 1 Nugent Jeffrey M · CIK 0001455940 · Director · Chairman of the Board and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 297,999 Read SEC document |
| May 07, 2018 Filed May 9, 2018 17:15 UTC | Sientra, Inc. SIEN · Entity 108294 | PurchaseCommon Stock | 1,852 | $13.50 | $25,002.00 |
DisclosureSEC source: 0001209191-18-028927 · doc4.xml · nonDerivative · entry 1 Nugent Jeffrey M · CIK 0001455940 · Director · Chairman of the Board and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 299,851 Read SEC document |
| January 19, 2018 Filed Jan 23, 2018 18:50 UTC | Sientra, Inc. SIEN · Entity 108294 | GrantCommon Stock (RSUs) | 118,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-004987 · doc4.xml · nonDerivative · entry 1 Nugent Jeffrey M · CIK 0001455940 · Director · Chairman of the Board and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 297,999 F1 · shares: The Restricted Stock Units (RSUs) vest in equal 1/3 amounts over a three (3) year period commencing on January 19, 2019. Vesting is subject to Reporting Person's continuous service with the Issuer. Read SEC document |
| January 02, 2018 Filed Jan 5, 2018 21:05 UTC | Sientra, Inc. SIEN · Entity 108294 | Tax withholdingCommon Stock | 8,028 | $14.27 | $114,559.56 |
DisclosureSEC source: 0001209191-18-002603 · doc4.xml · nonDerivative · entry 1 Nugent Jeffrey M · CIK 0001455940 · Director · Chairman of the Board and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,999 F1 · shares: Disposition to the Issuer of shares to satisfy the Reporting Person's tax withholding obligation upon the vesting of 20,000 Restricted Stock Units (RSUs) which is exempt under Rule 16b-3. Read SEC document |
| October 17, 2017 Filed Oct 26, 2017 21:30 UTC | Sientra, Inc. SIEN · Entity 108294 | Tax withholdingCommon Stock | 9,966 | $15.68 | $156,266.88 |
DisclosureSEC source: 0001209191-17-058100 · doc4.xml · nonDerivative · entry 1 Nugent Jeffrey M · CIK 0001455940 · Director · Chairman of the Board and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,027 F1 · shares: Disposition to the Issuer of shares to satisfy the Reporting Person's tax withholding obligation upon the vesting of 20,000 Restricted Stock Units (RSUs) which is exempt under Rule 16b-3. Read SEC document |
| June 20, 2017 Filed Jun 21, 2017 21:35 UTC | Evofem Biosciences, Inc. NEOT · Entity 8607 | GrantStock Option (Right to Buy) · Derivative | 12,450 | $0.00 Strike: $2.19 | $0.00 |
DisclosureSEC source: 0001209191-17-041269 · doc4.xml · derivative · entry 1 Nugent Jeffrey M · CIK 0001455940 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,450 Underlying: Common Stock · 12,450 shares Expires 2027-06-20 F1 · derivative.exercise_date: Option shares fully vest on the earlier of (i) June 20, 2018, (ii) the day preceding the Issuer's annual meeting of stockholders held in 2018, or (iii) immediately prior to a change of control as contemplated by the Issuer's 2014 Equity Incentive Plan. Read SEC document |
| May 11, 2017 Filed May 11, 2017 20:34 UTC | Evofem Biosciences, Inc. NEOT · Entity 8607 | GrantStock Option (Right to Buy) · Derivative | 63,500 | $0.00 Strike: $2.15 | $0.00 |
DisclosureSEC source: 0001209191-17-031679 · doc4.xml · derivative · entry 1 Nugent Jeffrey M · CIK 0001455940 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,500 Underlying: Common Stock · 63,500 shares Expires 2027-05-11 F1 · derivative.exercise_date: Option shares vest and become exercisable in twelve (12) equal monthly installments measured from the vesting commencement date, February 15, 2017, with full acceleration of the option shares upon the event of a change in control. Read SEC document |
| April 12, 2017 Filed Apr 14, 2017 14:58 UTC | Sientra, Inc. SIEN · Entity 108294 | GrantCommon Stock (RSU) | 180,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-006000 · edgar.xml · nonDerivative · entry 1 Nugent Jeffrey M · CIK 0001455940 · Director · Chief Executive Officer · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 197,993 F1 · kind: These restricted stock units vest in multiple installments over time as follows: (1) 60,000 vest immediately upon grant; (2) 60,000 vest (i) 20,000 on January 1, 2018, (ii) 20,000 on January 1, 2019 and (iii) 20,000 on January 1, 2020; and (3) 60,000 vest (i) 20,000 when the consecutive 30 day average closing price of the Issuer's Common Stock, as quoted on NASDAQ, is $15 per share, (ii) 20,000 when the consecutive 30 day average closing price of the Issuer's Common Stock, as quoted on NASDAQ, is $20 per share, and (iii) 20,000 when the consecutive 30 day average closing price of the Issuer's Common Stock, as quoted on NASDAQ, is $25 per share. Vesting subject to Reporting Person's continuous service. 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.