Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Evolus, Inc.EOLS · Entity 5341 | Director | January 23, 2020 | January 25, 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.
Evolus, Inc.
Report date January 23, 2020 · Filed January 25, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.19 · Expires 2030-01-23 | Direct | 23,458 |
Reported balance
After 2020-01-23 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-01-23 · Grant · Acquired 23,458 · Balance 23,458 F1: The shares subject to the option will vest as to 1/12 of the underlying shares monthly from the vesting commencement date of January 23, 2020, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to the option will vest as to 1/12 of the underlying shares monthly from the vesting commencement date of January 23, 2020, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer.
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 |
|---|---|---|---|---|---|---|
| January 23, 2020 Filed Jan 25, 2020 02:08 UTC | Evolus, Inc. EOLS · Entity 5341 | GrantStock Option (Right to Buy) · Derivative | 23,458 | $0.00 Strike: $10.19 | $0.00 |
DisclosureSEC source: 0001570562-20-000039 · wf-form4_157991807942005.xml · derivative · entry 1 Romine Kristine · CIK 0001730037 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,458 Underlying: Common Stock · 23,458 shares Expires 2030-01-23 F1 · derivative.exercise_date: The shares subject to the option will vest as to 1/12 of the underlying shares monthly from the vesting commencement date of January 23, 2020, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer. Read SEC document |
| May 29, 2019 Filed May 31, 2019 23:52 UTC | Evolus, Inc. EOLS · Entity 5341 | PurchaseCommon Stock | 2,090 | $14.77 | $30,863.24 |
DisclosureSEC source: 0001570562-19-000093 · wf-form4_155934672639420.xml · nonDerivative · entry 1 Romine Kristine · CIK 0001730037 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By son Disclosed balance after: 3,450 F1 · shares: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. F2 · price: The shares were purchased in multiple trades at prices ranging from $14.75 to $14.77. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| May 20, 2019 Filed May 22, 2019 23:12 UTC | Evolus, Inc. EOLS · Entity 5341 | PurchaseCommon Stock | 40,562 | $19.25 | $780,818.50 |
DisclosureSEC source: 0001570562-19-000089 · wf-form4_155856675911260.xml · nonDerivative · entry 1 Romine Kristine · CIK 0001730037 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,909 F1 · price: The acquisition of the shares of common stock referenced in this Form 4 was conducted in a private transaction between ALPHAEON Corporation ("ALPHAEON") and the Reporting Person. The Reporting Person holds certain notes issued by ALPHAEON. The Reporting Person elected to receive payment from ALPHAEON of the outstanding principal and interest amounts of the notes due in June 2019 in the form of shares of common stock rather than cash. The shares of common stock received by the Reporting Person are deemed "restricted securities" under Rule 144 promulgated under the Securities Act of 1933, as amended. Read SEC document |
| January 23, 2019 Filed Jan 26, 2019 01:18 UTC | Evolus, Inc. EOLS · Entity 5341 | GrantStock Option (Right to Buy) · Derivative | 14,500 | $0.00 Strike: $16.19 | $0.00 |
DisclosureSEC source: 0001570562-19-000020 · wf-form4_154846552009207.xml · derivative · entry 1 Romine Kristine · CIK 0001730037 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,500 Underlying: Common Stock · 14,500 shares Expires 2029-01-23 F1 · derivative.exercise_date: The shares subject to the option will vest as to 1/12 of the underlying shares monthly from the vesting commencement date of January 23, 2019, provided the reporting person remains in continuous service on each vesting date, subject to accelerated vesting in certain events, including certain terminations of the reporting person or upon certain changes of control of the issuer. Read SEC document |
| December 17, 2018 Filed Dec 18, 2018 02:52 UTC | Evolus, Inc. EOLS · Entity 5341 | PurchaseCommon Stock | 5,000 | $12.75 | $63,750.00 |
DisclosureSEC source: 0001570562-18-000131 · wf-form4_154510151046328.xml · nonDerivative · entry 2 Romine Kristine · CIK 0001730037 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,347 Read SEC document |
| December 14, 2018 Filed Dec 18, 2018 02:52 UTC | Evolus, Inc. EOLS · Entity 5341 | PurchaseCommon Stock | 11,000 | $12.50 | $137,453.80 |
DisclosureSEC source: 0001570562-18-000131 · wf-form4_154510151046328.xml · nonDerivative · entry 1 Romine Kristine · CIK 0001730037 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,347 F1 · price: The shares were purchased in multiple trades at prices ranging from $12.35 to $12.70. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| November 29, 2018 Filed Dec 3, 2018 21:27 UTC | Evolus, Inc. EOLS · Entity 5341 | PurchaseCommon Stock | 6,347 | $14.00 | $88,858.00 |
DisclosureSEC source: 0001570562-18-000124 · wf-form4_154387240503332.xml · nonDerivative · entry 1 Romine Kristine · CIK 0001730037 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,347 F1 · price: The acquisition of the shares of common stock referenced in this Form 4 was conducted in a private transaction between ALPHAEON Corporation ("ALPHAEON") and the Reporting Person. The Reporting Person holds certain notes issued by ALPHAEON. The Reporting Person elected to receive payment from ALPHAEON of the outstanding principal amounts of the notes due on December 23, 2018 in the form of shares of common stock rather than cash. The shares of common stock received by the Reporting Person are deemed "restricted securities" under Rule 144 promulgated under the Securities Act of 1933, as amended. Read SEC document |
| August 22, 2018 Filed Aug 29, 2018 01:29 UTC | Evolus, Inc. EOLS · Entity 5341 | GrantCommon Stock | 160 | $19.98 | $3,196.80 |
DisclosureSEC source: 0001570562-18-000104 · wf-form4_153550613550322.xml · nonDerivative · entry 2 Romine Kristine · CIK 0001730037 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By son Disclosed balance after: 1,360 F2 · balance_after: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose Read SEC document |
| August 22, 2018 Filed Aug 29, 2018 01:29 UTC | Evolus, Inc. EOLS · Entity 5341 | PurchaseCommon Stock | 10,000 | $19.83 | $198,270.00 |
DisclosureSEC source: 0001570562-18-000104 · wf-form4_153550613550322.xml · nonDerivative · entry 1 Romine Kristine · CIK 0001730037 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,000 F1 · price: The shares were purchased in multiple trades at prices ranging from $19.70 to $19.93. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| June 08, 2018 Filed Jun 8, 2018 21:49 UTC | Evolus, Inc. EOLS · Entity 5341 | PurchaseCommon Stock | 2,000 | $28.05 | $56,100.00 |
DisclosureSEC source: 0001570562-18-000055 · wf-form4_152849455074302.xml · nonDerivative · entry 2 Romine Kristine · CIK 0001730037 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Read SEC document |
| June 07, 2018 Filed Jun 8, 2018 21:49 UTC | Evolus, Inc. EOLS · Entity 5341 | PurchaseCommon Stock | 200 | $33.40 | $6,680.00 |
DisclosureSEC source: 0001570562-18-000055 · wf-form4_152849455074302.xml · nonDerivative · entry 1 Romine Kristine · CIK 0001730037 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By son Disclosed balance after: 1,200 F1 · shares: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose F2 · balance_after: Due to an inadvertent error, the number of shares owned by the Reporting Person's Son was overstated on a Form 4 filed on June 4, 2018 by 1,000 shares. The previous error has been corrected in the current filing. Read SEC document |
| June 01, 2018 Filed Jun 4, 2018 20:18 UTC | Evolus, Inc. EOLS · Entity 5341 | PurchaseCommon Stock | 4,000 | $25.74 | $102,948.00 |
DisclosureSEC source: 0001570562-18-000049 · wf-form4_152814342858962.xml · nonDerivative · entry 3 Romine Kristine · CIK 0001730037 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 F2 · price: The shares were purchased in multiple trades at prices ranging from $25.324 to $26.15. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| May 31, 2018 Filed Jun 4, 2018 20:18 UTC | Evolus, Inc. EOLS · Entity 5341 | PurchaseCommon Stock | 1,000 | $24.40 | $24,400.00 |
DisclosureSEC source: 0001570562-18-000049 · wf-form4_152814342858962.xml · nonDerivative · entry 2 Romine Kristine · CIK 0001730037 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By son Disclosed balance after: 2,000 F1 · shares: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| May 31, 2018 Filed Jun 4, 2018 20:18 UTC | Evolus, Inc. EOLS · Entity 5341 | PurchaseCommon Stock | 2,000 | $24.40 | $48,800.00 |
DisclosureSEC source: 0001570562-18-000049 · wf-form4_152814342858962.xml · nonDerivative · entry 1 Romine Kristine · CIK 0001730037 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 Read SEC document |
| April 24, 2018 Filed Apr 26, 2018 17:37 UTC | Evolus, Inc. EOLS · Entity 5341 | GrantStock Option (Right to Buy) · Derivative | 9,086 | $0.00 Strike: $8.01 | $0.00 |
DisclosureSEC source: 0001570562-18-000025 · wf-form4_152476425529423.xml · derivative · entry 1 Romine Kristine · CIK 0001730037 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,086 Underlying: Common Stock · 9,086 shares Expires 2028-04-24 F1 · derivative.exercise_date: The shares subject to the option will vest over a period of two years, with 1/2 of the shares subject to the option vesting annually on the anniversary of January 6, 2018. 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.