Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Adhera Therapeutics, Inc.MRNA · Entity 127789 | Director | July 10, 2018 | July 11, 2018 |
| Avalo Therapeutics, Inc.CERC · Entity 4936 | Director | March 31, 2020 | April 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.
Adhera Therapeutics, Inc.
Report date July 10, 2018 · Filed July 11, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Options to purchase common stockSEC Table II · derivative / convertible security · Conversion / exercise price $0.66 · Expires 2028-07-10 | Direct | 1,000,000 |
Reported balance
After 2018-07-10 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-07-10 · Grant · Acquired 1,000,000 · Balance 1,000,000 F1: Options to purchase 500,000 shares of common stock are exercisable immediately, options to purchase 125,000 shares of common stock are exercisable on each of July 1, 2019 and July 1, 2020, options to purchase 125,000 shares of common stock shall vest on such date, if any, as the Issuer pays to the reporting person a bonus in the amount of $25,000 if the Issuer achieves net product revenue in the amount of not less than $1.2 million for the portion of the 2018 fiscal year following July 1, 2018, and options to purchase 125,000 shares of common stock shall vest on such date, if any, as the Issuer pays to the reporting person a bonus in the amount of $25,000 if the daily VWAP of the common stock of the Issuer is not less than $2.00 per share for a sixty consecutive day period beginning on any calendar day during the 2018 fiscal year on or after July 1, 2018. |
Filing footnotes · ownership attribution and instrument terms
F1: Options to purchase 500,000 shares of common stock are exercisable immediately, options to purchase 125,000 shares of common stock are exercisable on each of July 1, 2019 and July 1, 2020, options to purchase 125,000 shares of common stock shall vest on such date, if any, as the Issuer pays to the reporting person a bonus in the amount of $25,000 if the Issuer achieves net product revenue in the amount of not less than $1.2 million for the portion of the 2018 fiscal year following July 1, 2018, and options to purchase 125,000 shares of common stock shall vest on such date, if any, as the Issuer pays to the reporting person a bonus in the amount of $25,000 if the daily VWAP of the common stock of the Issuer is not less than $2.00 per share for a sixty consecutive day period beginning on any calendar day during the 2018 fiscal year on or after July 1, 2018.
Avalo Therapeutics, Inc.
Report date March 31, 2020 · Filed April 02, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.48 · Expires 2030-03-31 | Direct | 2,007 |
Reported balance
After 2020-03-31 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-03-31 · Grant · Acquired 2,007 · Balance 2,007 F1: The stock option is fully vested. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.39 · Expires 2029-12-31 | Direct | 1,106 |
Reported balance
Holding disclosure · report date 2020-03-31 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 1,106 F1: The stock option is fully vested. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.29 · Expires 2029-09-30 | Direct | 1,819 |
Reported balance
Holding disclosure · report date 2020-03-31 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 1,819 F1: The stock option is fully vested. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.93 · Expires 2029-08-07 | Direct | 25,000 |
Reported balance
Holding disclosure · report date 2020-03-31 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 25,000 F2: The stock option will vest in full on August 7, 2020, subject to the Reporting Person's continued service on such vesting date. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.44 · Expires 2029-06-28 | Direct | 1,172 |
Reported balance
Holding disclosure · report date 2020-03-31 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 1,172 F1: The stock option is fully vested. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.84 · Expires 2029-03-29 | Direct | 1,724 |
Reported balance
Holding disclosure · report date 2020-03-31 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 1,724 F1: The stock option is fully vested. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.23 · Expires 2028-12-31 | Direct | 3,095 |
Reported balance
Holding disclosure · report date 2020-03-31 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance 3,095 F1: The stock option is fully vested. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.71 · Expires 2028-05-15 | Direct | 8,357 |
Reported balance
Holding disclosure · report date 2020-03-31 · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · Balance 8,357 F1: The stock option is fully vested. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.87 · Expires 2027-01-25 | Direct | 100,000 |
Reported balance
Holding disclosure · report date 2020-03-31 · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · Balance 100,000 F1: The stock option is fully vested. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.77 · Expires 2026-08-16 | Direct | 130,000 |
Reported balance
Holding disclosure · report date 2020-03-31 · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · Balance 130,000 F3: 32,500 of the shares underlying the option shall vest and become exercisable on August 17, 2017; the remaining shares shall vest and become exercisable in 36 equal monthly installments thereafter beginning on September 17, 2017, subject to the Reporting Person's continued service with the Issuer on each such date. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.35 · Expires 2025-12-31 | Direct | 360,459 |
Reported balance
Holding disclosure · report date 2020-03-31 · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · Balance 360,459 F1: The stock option is fully vested. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.80 · Expires 2025-11-08 | Direct | 16,714 |
Reported balance
Holding disclosure · report date 2020-03-31 · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · Balance 16,714 F1: The stock option is fully vested. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.13 · Expires 2025-06-01 | Direct | 11,607 |
Reported balance
Holding disclosure · report date 2020-03-31 · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 14 · Balance 11,607 F1: The stock option is fully vested. |
| Common StockSEC Table I · non-derivative | Direct | 20,000 |
Reported balance
Holding disclosure · report date 2020-03-31 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 20,000 |
Filing footnotes · ownership attribution and instrument terms
F1: The stock option is fully vested.
F2: The stock option will vest in full on August 7, 2020, subject to the Reporting Person's continued service on such vesting date.
F3: 32,500 of the shares underlying the option shall vest and become exercisable on August 17, 2017; the remaining shares shall vest and become exercisable in 36 equal monthly installments thereafter beginning on September 17, 2017, subject to the Reporting Person's continued service with the Issuer on each such 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 |
|---|---|---|---|---|---|---|
| March 31, 2020 Filed Apr 2, 2020 17:23 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantStock Option (Right to Buy) · Derivative | 2,007 | $0.00 Strike: $2.48 | $0.00 |
DisclosureSEC source: 0001578563-20-000009 · primary_doc.xml · derivative · entry 2 Hacksell Uli · CIK 0001291962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,007 Underlying: Common Stock · 2,007 shares Expires 2030-03-31 F1 · derivative.exercise_date: The stock option is fully vested. Read SEC document |
| December 31, 2019 Filed Jan 2, 2020 19:34 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantStock Option (Right to Buy) · Derivative | 11,016 | $0.00 Strike: $5.39 | $0.00 |
DisclosureSEC source: 0001578563-20-000003 · primary_doc.xml · derivative · entry 2 Hacksell Uli · CIK 0001291962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,106 Underlying: Common Stock · 1,106 shares Expires 2029-12-31 F1 · derivative.exercise_date: The stock option is fully vested. Read SEC document |
| September 30, 2019 Filed Oct 2, 2019 17:02 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantStock Option (Right to Buy) · Derivative | 1,819 | $0.00 Strike: $3.29 | $0.00 |
DisclosureSEC source: 0001578563-19-000027 · primary_doc.xml · derivative · entry 2 Hacksell Uli · CIK 0001291962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,819 Underlying: Common Stock · 1,819 shares Expires 2029-09-30 F1 · derivative.exercise_date: The stock option is fully vested. Read SEC document |
| August 07, 2019 Filed Oct 3, 2019 17:46 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantStock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $2.93 | $0.00 |
DisclosureSEC source: 0001578563-19-000031 · primary_doc.xml · derivative · entry 2 Hacksell Uli · CIK 0001291962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2029-08-07 F1 · derivative.exercise_date: The stock option will vest in full on August 7, 2020, subject to the Reporting Person's continued service on such vesting date. Read SEC document |
| June 28, 2019 Filed Jul 2, 2019 16:08 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantStock Option (Right to Buy) · Derivative | 1,172 | $0.00 Strike: $5.44 | $0.00 |
DisclosureSEC source: 0001104659-19-039025 · a4.xml · derivative · entry 2 Hacksell Uli · CIK 0001291962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,172 Underlying: Common Stock · 1,172 shares Expires 2029-06-28 Read SEC document |
| March 29, 2019 Filed Apr 1, 2019 17:32 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantStock Option (Right to Buy) · Derivative | 1,724 | $0.00 Strike: $5.84 | $0.00 |
DisclosureSEC source: 0001578563-19-000008 · primary_doc.xml · derivative · entry 3 Hacksell Uli · CIK 0001291962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,724 Underlying: Common Stock · 1,724 shares Expires 2019-03-28 Read SEC document |
| December 31, 2018 Filed Jan 2, 2019 16:39 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantStock Option (Right to Buy) · Derivative | 3,095 | $0.00 Strike: $3.23 | $0.00 |
DisclosureSEC source: 0001578563-19-000003 · primary_doc.xml · derivative · entry 1 Hacksell Uli · CIK 0001291962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,095 Underlying: Common Stock · 3,095 shares Expires 2028-12-30 Read SEC document |
| July 10, 2018 Filed Jul 11, 2018 19:48 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | GrantOptions to purchase common stock · Derivative | 1,000,000 | $0.00 Strike: $0.66 | $0.00 |
DisclosureSEC source: 0001493152-18-009908 · ownership.xml · derivative · entry 1 Hacksell Uli · CIK 0001291962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000,000 Underlying: common stock · 1,000,000 shares Expires 2028-07-10 F1 · derivative.exercise_date: Options to purchase 500,000 shares of common stock are exercisable immediately, options to purchase 125,000 shares of common stock are exercisable on each of July 1, 2019 and July 1, 2020, options to purchase 125,000 shares of common stock shall vest on such date, if any, as the Issuer pays to the reporting person a bonus in the amount of $25,000 if the Issuer achieves net product revenue in the amount of not less than $1.2 million for the portion of the 2018 fiscal year following July 1, 2018, and options to purchase 125,000 shares of common stock shall vest on such date, if any, as the Issuer pays to the reporting person a bonus in the amount of $25,000 if the daily VWAP of the common stock of the Issuer is not less than $2.00 per share for a sixty consecutive day period beginning on any calendar day during the 2018 fiscal year on or after July 1, 2018. Read SEC document |
| May 15, 2018 Filed May 17, 2018 19:51 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantStock Option (Right to Buy) · Derivative | 8,357 | $0.00 Strike: $3.71 | $0.00 |
DisclosureSEC source: 0001578563-18-000009 · primary_doc.xml · derivative · entry 1 Hacksell Uli · CIK 0001291962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,357 Underlying: Common Stock · 8,357 shares Expires 2028-05-14 F1 · derivative.exercise_date: The stock options will vest in full on May 15, 2019, subject to the grantee's continued service on such vesting date. Read SEC document |
| June 09, 2017 Filed Apr 1, 2019 17:32 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | PurchaseCommon Stock | 10,000 | $0.42 | $4,200.00 |
DisclosureSEC source: 0001578563-19-000008 · primary_doc.xml · nonDerivative · entry 2 Hacksell Uli · CIK 0001291962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 F1 · shares: These shares were acquired under the Issuer's 2016 Employee Stock Purchase Plan. Read SEC document |
| January 26, 2017 Filed Jan 30, 2017 22:05 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantEmployee Stock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $0.87 | $0.00 |
DisclosureSEC source: 0001562180-17-000406 · primarydocument.xml · derivative · entry 1 Hacksell Uli · CIK 0001291962 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2027-01-25 F1 · derivative.exercise_date: 33,333 of the shares underlying the option vested and became exercisable on the date of grant; 33,333 shares shall vest and become exercisable on the first anniversary of the date of grant, and 33,334 shares shall vest and become exercisable on the second anniversary of the date of grant, subject to the Reporting Person's continuous service with the Issuer on each such date. Read SEC document |
| December 10, 2016 Filed Apr 1, 2019 17:32 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | PurchaseCommon Stock | 10,000 | $1.07 | $10,700.00 |
DisclosureSEC source: 0001578563-19-000008 · primary_doc.xml · nonDerivative · entry 1 Hacksell Uli · CIK 0001291962 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 F1 · shares: These shares were acquired under the Issuer's 2016 Employee Stock Purchase Plan. 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.