Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| TALPHERA, INC.ACRX · Entity 7102 | Chief Development Officer | February 11, 2020 | February 13, 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.
TALPHERA, INC.
Report date February 11, 2020 · Filed February 13, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 127,769 |
Reported balance
After 2020-02-11 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2020-02-11 · Tax withholding · Disposed 5,613 · Balance 127,769 F1: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs. F2: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions. |
| Common StockSEC Table I · non-derivative | IndirectBy the Hamel Revocable Living Trust | 29,795 |
Reported balance
Holding disclosure · report date 2020-02-11 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 29,795 |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.
F2: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.
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 11, 2020 Filed Feb 13, 2020 21:14 UTC | TALPHERA, INC. ACRX · Entity 7102 | Tax withholdingCommon Stock | 5,613 | $1.71 | $9,598.23 |
DisclosureSEC source: 0001209191-20-009164 · doc4.xml · nonDerivative · entry 1 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,769 F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs. F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions. Read SEC document |
| February 06, 2020 Filed Feb 8, 2020 02:08 UTC | TALPHERA, INC. ACRX · Entity 7102 | GrantStock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $1.72 | $0.00 |
DisclosureSEC source: 0001209191-20-007738 · doc4.xml · derivative · entry 3 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2030-02-06 F3 · derivative.exercise_date: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the 12 month anniversary of the grant date and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months. Read SEC document |
| February 06, 2020 Filed Feb 8, 2020 02:08 UTC | TALPHERA, INC. ACRX · Entity 7102 | GrantCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-007738 · doc4.xml · nonDerivative · entry 1 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,382 F1 · security: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F2 · shares: The restricted stock units shall vest in three equal consecutive annual installments on February 6, 2021, February 6, 2022 and February 6, 2023. Read SEC document |
| November 02, 2019 Filed Nov 4, 2019 11:05 UTC | TALPHERA, INC. ACRX · Entity 7102 | GrantStock Option (Right to Buy) · Derivative | 26,125 | $0.00 Strike: $2.23 | $0.00 |
DisclosureSEC source: 0000899243-19-026513 · doc4.xml · derivative · entry 3 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,250 Underlying: Common Stock · 26,125 shares Expires 2028-11-02 F2 · derivative.exercise_date: On April 7, 2018, the reporting person was granted a performance-based option to purchase 52,250 shares of common stock, subject to the Company's achievement of commercial approval by the U.S. Food and Drug Administration ("FDA") of its new drug application for "DSUVIA" on or before February 15, 2019. Once the performance criteria is achieved, the option vests in two equal installments with 50% of the option vesting upon the Company's achievement of the performance criteria and the remaining 50% of the option vesting on the one-year anniversary of the date of such achievement, in all cases subject to continuous service to the Company. The performance criteria for commercial approval by the FDA for DSUVIA was met on November 2, 2018, resulting in vesting of the option as to 26,125 shares on that date. On November 2, 2019, the remaining balance of the option vested. Read SEC document |
| February 28, 2019 Filed Mar 4, 2019 21:24 UTC | TALPHERA, INC. ACRX · Entity 7102 | PurchaseCommon Stock | 3,682 | $2.81 | $10,346.42 |
DisclosureSEC source: 0001209191-19-015617 · doc4.xml · nonDerivative · entry 1 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,053 F1 · balance_after: Balance includes non-reportable acquisition of 3,682 shares of Common Stock through the Company's Employee Stock Purchase Plan. Read SEC document |
| February 11, 2019 Filed Feb 13, 2019 22:45 UTC | TALPHERA, INC. ACRX · Entity 7102 | GrantStock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $2.51 | $0.00 |
DisclosureSEC source: 0001209191-19-009822 · doc4.xml · derivative · entry 3 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2029-02-11 F3 · derivative.exercise_date: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the 12 month anniversary of the Vesting Commencement Date and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months. Read SEC document |
| February 11, 2019 Filed Feb 13, 2019 22:45 UTC | TALPHERA, INC. ACRX · Entity 7102 | GrantCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-009822 · doc4.xml · nonDerivative · entry 1 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,371 F1 · security: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F2 · shares: The restricted stock units shall vest in three equal consecutive annual installments on February 11, 2020, February 11, 2021 and February 11, 2022. Read SEC document |
| November 02, 2018 Filed Nov 5, 2018 22:29 UTC | TALPHERA, INC. ACRX · Entity 7102 | Disposition to issuerStock Option (Right to Buy) · Derivative | 5,000 | $0.00 Strike: $2.23 | $0.00 |
DisclosureSEC source: 0001209191-18-057255 · doc4.xml · derivative · entry 5 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,125 Underlying: Common Stock · 5,000 shares Expires 2028-11-02 F2 · derivative.exercise_date: On April 7, 2018, the reporting person was granted an option to purchase 52,250 shares of common stock. The option vests in two equal annual installments based on Company's achievement of commercial approval by the U.S. Food and Drug Administration ("FDA") of its new drug application for "DSUVIA" on or before February 15, 2019; and the remaining 50% of the award shall vest on the one-year anniversary of the date of such FDA approval, in all cases subject to continuous service to the Company. The performance criteria for commercial approval by the FDA for DSUVIA was met on November 2, 2018, resulting in vesting of the option as to 26,125 shares. F2 · balance_after: On April 7, 2018, the reporting person was granted an option to purchase 52,250 shares of common stock. The option vests in two equal annual installments based on Company's achievement of commercial approval by the U.S. Food and Drug Administration ("FDA") of its new drug application for "DSUVIA" on or before February 15, 2019; and the remaining 50% of the award shall vest on the one-year anniversary of the date of such FDA approval, in all cases subject to continuous service to the Company. The performance criteria for commercial approval by the FDA for DSUVIA was met on November 2, 2018, resulting in vesting of the option as to 26,125 shares. Read SEC document |
| November 02, 2018 Filed Nov 5, 2018 22:29 UTC | TALPHERA, INC. ACRX · Entity 7102 | GrantStock Option (Right to Buy) · Derivative | 26,125 | $0.00 Strike: $2.23 | $0.00 |
DisclosureSEC source: 0001209191-18-057255 · doc4.xml · derivative · entry 4 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,125 Underlying: Common Stock · 26,125 shares Expires 2028-11-02 F2 · derivative.exercise_date: On April 7, 2018, the reporting person was granted an option to purchase 52,250 shares of common stock. The option vests in two equal annual installments based on Company's achievement of commercial approval by the U.S. Food and Drug Administration ("FDA") of its new drug application for "DSUVIA" on or before February 15, 2019; and the remaining 50% of the award shall vest on the one-year anniversary of the date of such FDA approval, in all cases subject to continuous service to the Company. The performance criteria for commercial approval by the FDA for DSUVIA was met on November 2, 2018, resulting in vesting of the option as to 26,125 shares. F2 · balance_after: On April 7, 2018, the reporting person was granted an option to purchase 52,250 shares of common stock. The option vests in two equal annual installments based on Company's achievement of commercial approval by the U.S. Food and Drug Administration ("FDA") of its new drug application for "DSUVIA" on or before February 15, 2019; and the remaining 50% of the award shall vest on the one-year anniversary of the date of such FDA approval, in all cases subject to continuous service to the Company. The performance criteria for commercial approval by the FDA for DSUVIA was met on November 2, 2018, resulting in vesting of the option as to 26,125 shares. Read SEC document |
| November 02, 2018 Filed Nov 5, 2018 22:29 UTC | TALPHERA, INC. ACRX · Entity 7102 | Disposition to issuerCommon Stock | 5,000 | $5.00 | $25,000.00 |
DisclosureSEC source: 0001209191-18-057255 · doc4.xml · nonDerivative · entry 2 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By the Hamel Revocable Living Trust Disclosed balance after: 29,795 F1 · shares: Shares sold pursuant to a 10b5-1 plan. Read SEC document |
| November 02, 2018 Filed Nov 5, 2018 22:29 UTC | TALPHERA, INC. ACRX · Entity 7102 | GrantCommon Stock | 5,000 | $2.23 | $11,125.00 |
DisclosureSEC source: 0001209191-18-057255 · doc4.xml · nonDerivative · entry 1 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By the Hamel Revocable Living Trust Disclosed balance after: 34,795 Read SEC document |
| October 15, 2018 Filed Oct 16, 2018 20:30 UTC | TALPHERA, INC. ACRX · Entity 7102 | SaleCommon Stock | 5,216 | $5.00 | $26,080.00 |
DisclosureSEC source: 0001209191-18-055127 · doc4.xml · nonDerivative · entry 1 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By the Hamel Revocable Living Trust Disclosed balance after: 29,795 F1 · kind: Shares sold pursuant to a 10b5-1 plan. Read SEC document |
| September 24, 2018 Filed Sep 26, 2018 21:54 UTC | TALPHERA, INC. ACRX · Entity 7102 | SaleCommon Stock | 6,953 | $4.50 | $31,288.50 |
DisclosureSEC source: 0001209191-18-052334 · doc4.xml · nonDerivative · entry 1 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By the Hamel Revocable Living Trust Disclosed balance after: 35,011 F1 · kind: Shares sold pursuant to a 10b5-1 plan. Read SEC document |
| August 31, 2018 Filed Sep 5, 2018 10:06 UTC | TALPHERA, INC. ACRX · Entity 7102 | GrantCommon Stock | 6,876 | $1.49 | $10,245.24 |
DisclosureSEC source: 0000899243-18-023787 · doc4.xml · nonDerivative · entry 1 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,371 F1 · shares: These shares were acquired under the Company's Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). F2 · balance_after: Non-reportable acquisition of 1,116 shares of common stock through the Company's Employee Stock Purchase Plan. Read SEC document |
| January 22, 2018 Filed Jan 27, 2018 00:29 UTC | TALPHERA, INC. ACRX · Entity 7102 | GrantStock Option (Right to Buy) · Derivative | 95,000 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0001437749-18-001229 · rdgdoc.xml · derivative · entry 1 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,000 Underlying: Common Stock · 95,000 shares Expires 2028-01-21 F2 · security: Issued pursuant to the 2011 Equity Incentive Plan. F1 · derivative.exercise_date: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the 12 month anniversary of the Vesting Commencement Date and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months. Read SEC document |
| October 02, 2017 Filed Oct 3, 2017 20:37 UTC | TALPHERA, INC. ACRX · Entity 7102 | SaleCommon Stock | 10,161 | $5.29 | $53,751.69 |
DisclosureSEC source: 0001437749-17-016704 · rdgdoc.xml · nonDerivative · entry 1 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 41,964 F1 · kind: Shares sold pursuant to a 10b5-1 plan. F2 · price: The Shares were sold at prices ranging from $5.10 to $5.50. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price. F3 · ownership.nature: The Shares are held in the Hamel Revocable Living Trust. Read SEC document |
| September 25, 2017 Filed Sep 27, 2017 20:54 UTC | TALPHERA, INC. ACRX · Entity 7102 | SaleCommon Stock | 13,827 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-17-016405 · rdgdoc.xml · nonDerivative · entry 1 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 68,504 F2 · price: The Shares were sold in a range from $3.50-$4.50 F3 · balance_after: Non-reportable acquisition of 1,977 shares of Common Stock through the Company's Employee Stock Purchase Plan F1 · ownership.direct: 52,125 of the Shares are held in the Hamel Revocable Living Trust F1 · ownership.nature: 52,125 of the Shares are held in the Hamel Revocable Living Trust Read SEC document |
| April 10, 2017 Filed Apr 11, 2017 21:29 UTC | TALPHERA, INC. ACRX · Entity 7102 | Disposition to issuerStock Option (Right to Buy) · Derivative | 9,122 | $0.00 Strike: $1.20 | $0.00 |
DisclosureSEC source: 0001437749-17-006460 · rdgdoc.xml · derivative · entry 3 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,122 shares Expires 2017-12-05 F2 · derivative.exercise_date: Options vest as follows: 1/4 of the shares subject to the option vest on December 4, 2008 with the remaining shares subject to the option vesting on an equal monthly basis over 36 months. Read SEC document |
| April 10, 2017 Filed Apr 11, 2017 21:29 UTC | TALPHERA, INC. ACRX · Entity 7102 | GrantCommon Stock | 6,879 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-17-006460 · rdgdoc.xml · nonDerivative · entry 2 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,354 F1 · price: Non-reportable acquisition of 6,879 shares of Common Stock through the Company's Employee Stock Purchase Plan. Read SEC document |
| April 10, 2017 Filed Apr 11, 2017 21:29 UTC | TALPHERA, INC. ACRX · Entity 7102 | GrantCommon Stock | 9,122 | $1.20 | $10,946.40 |
DisclosureSEC source: 0001437749-17-006460 · rdgdoc.xml · nonDerivative · entry 1 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,475 Read SEC document |
| February 07, 2017 Filed Feb 10, 2017 02:03 UTC | TALPHERA, INC. ACRX · Entity 7102 | GrantCommon Stock (Right to Buy) · Derivative | 79,500 | $0.00 Strike: $3.00 | $0.00 |
DisclosureSEC source: 0001437749-17-002067 · rdgdoc.xml · derivative · entry 1 Hamel Lawrence G · CIK 0001511368 · Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,500 Underlying: Common Stock · 79,500 shares Expires 2028-02-06 F1 · security: Issued pursuant to the 2011 Equity Incentive Plan. F2 · derivative.exercise_date: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the 12 month anniversary of the Vesting Commencement Date (February 7, 2017) and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months. F3 · derivative.exercise_date: 100% Acceleration upon Change of Control. 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.