Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PERNIX THERAPEUTICS HOLDINGS, INC.PTX · Entity 161208 | SVP, CBO & Principal Fin Off | August 08, 2018 | August 10, 2018 |
| ROCKWELL MEDICAL, INC.RMTI · Entity 7426 | Chief Financial Officer | November 28, 2019 | November 29, 2019 |
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.
PERNIX THERAPEUTICS HOLDINGS, INC.
Report date August 08, 2018 · Filed August 10, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 8,018 |
Reported balance
After 2018-08-08 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2018-08-08 · Tax withholding · Disposed 282 · Balance 8,018 F1: Represents restricted stock units ("RSU") of Pernix Therapeutics Holdings, Inc. withheld to satisfy tax withholding obligations in connection with the vesting of RSUs, exempt under Rule 16b-3. F2: Consists of (i) 543 shares of common stock, (ii) the unvested amount of previously-awarded RSUs that vest in four equal annual installments of 825 shares, with the second installment vesting on August 8, 2019 and (iii) the unvested amount of previously-awarded RSUs that vest in four equal installments of 1,250 shares, with the first installment vesting on March 15, 2019. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents restricted stock units ("RSU") of Pernix Therapeutics Holdings, Inc. withheld to satisfy tax withholding obligations in connection with the vesting of RSUs, exempt under Rule 16b-3.
F2: Consists of (i) 543 shares of common stock, (ii) the unvested amount of previously-awarded RSUs that vest in four equal annual installments of 825 shares, with the second installment vesting on August 8, 2019 and (iii) the unvested amount of previously-awarded RSUs that vest in four equal installments of 1,250 shares, with the first installment vesting on March 15, 2019.
ROCKWELL MEDICAL, INC.
Report date November 28, 2019 · Filed November 29, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 168,486 |
Reported balance
After 2019-11-28 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2019-11-28 · Tax withholding · Disposed 8,181 · Balance 168,486 F1: Represents shares surrendered to the Issuer in satisfaction of the payment of required withholding taxes in connection with the vesting of restricted stock units. F2: Includes 138,889 shares of common stock underlying unvested restricted stock unit awards that vest based on the achievement of certain time-based and performance-based milestones. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares surrendered to the Issuer in satisfaction of the payment of required withholding taxes in connection with the vesting of restricted stock units.
F2: Includes 138,889 shares of common stock underlying unvested restricted stock unit awards that vest based on the achievement of certain time-based and performance-based milestones.
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 |
|---|---|---|---|---|---|---|
| November 28, 2019 Filed Nov 29, 2019 21:05 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | Tax withholdingCommon Stock | 8,181 | $2.37 | $19,388.97 |
DisclosureSEC source: 0001104659-19-068687 · a4.xml · nonDerivative · entry 1 Smith Angus W. · CIK 0001730835 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,486 F1 · kind: Represents shares surrendered to the Issuer in satisfaction of the payment of required withholding taxes in connection with the vesting of restricted stock units. F2 · balance_after: Includes 138,889 shares of common stock underlying unvested restricted stock unit awards that vest based on the achievement of certain time-based and performance-based milestones. Read SEC document |
| June 28, 2019 Filed Jul 3, 2019 00:54 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | PurchaseCommon Stock | 10,000 | $3.06 | $30,600.00 |
DisclosureSEC source: 0001104659-19-039153 · a4.xml · nonDerivative · entry 1 Smith Angus W. · CIK 0001730835 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 176,667 F1 · balance_after: Includes 166,667 shares of common stock underlying unvested restricted stock units that vest based on the achievement of certain time-based and performance-based milestones. Read SEC document |
| November 28, 2018 Filed Nov 29, 2018 23:02 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | GrantStock Option (Right to Buy) · Derivative | 333,333 | $0.00 Strike: $3.52 | $0.00 |
DisclosureSEC source: 0001104659-18-070670 · a4.xml · derivative · entry 2 Smith Angus W. · CIK 0001730835 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 333,333 Underlying: Common Stock · 333,333 shares Expires 2028-11-28 F2 · derivative.exercise_date: Stock options vest in three equal installments on the first, second and third anniversaries of November 28, 2018. Read SEC document |
| November 28, 2018 Filed Nov 29, 2018 23:02 UTC | ROCKWELL MEDICAL, INC. RMTI · Entity 7426 | GrantCommon Stock | 166,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-18-070670 · a4.xml · nonDerivative · entry 1 Smith Angus W. · CIK 0001730835 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,667 F1 · kind: Restricted stock units vest with respect to 83,334 shares in three equal installments on the first, second and third anniversaries of November 28, 2018, with the remainder vesting upon achievement of specified milestone events. F1 · shares: Restricted stock units vest with respect to 83,334 shares in three equal installments on the first, second and third anniversaries of November 28, 2018, with the remainder vesting upon achievement of specified milestone events. Read SEC document |
| August 08, 2018 Filed Aug 10, 2018 16:10 UTC | PERNIX THERAPEUTICS HOLDINGS, INC. PTX · Entity 161208 | Tax withholdingCommon Stock | 282 | $1.86 | $524.52 |
DisclosureSEC source: 0001136261-18-000213 · primary_doc.xml · nonDerivative · entry 1 Smith Angus W. · CIK 0001730835 · SVP, CBO & Principal Fin Off 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,018 F1 · shares: Represents restricted stock units ("RSU") of Pernix Therapeutics Holdings, Inc. withheld to satisfy tax withholding obligations in connection with the vesting of RSUs, exempt under Rule 16b-3. F2 · balance_after: Consists of (i) 543 shares of common stock, (ii) the unvested amount of previously-awarded RSUs that vest in four equal annual installments of 825 shares, with the second installment vesting on August 8, 2019 and (iii) the unvested amount of previously-awarded RSUs that vest in four equal installments of 1,250 shares, with the first installment vesting on March 15, 2019. Read SEC document |
| March 15, 2018 Filed Mar 16, 2018 16:26 UTC | PERNIX THERAPEUTICS HOLDINGS, INC. PTX · Entity 161208 | GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $2.46 | $0.00 |
DisclosureSEC source: 0001136261-18-000082 · primary_doc.xml · derivative · entry 2 Smith Angus W. · CIK 0001730835 · SVP, Chief Bus Off & PFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2028-03-14 F3 · derivative.exercise_date: The stock option vests in four equal annual installments of 3,750 shares over a four-year period, with the first installment vesting at the close of business on March 15, 2019, which is the one-year anniversary of the grant date. Read SEC document |
| March 15, 2018 Filed Mar 16, 2018 16:26 UTC | PERNIX THERAPEUTICS HOLDINGS, INC. PTX · Entity 161208 | GrantCommon Stock | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001136261-18-000082 · primary_doc.xml · nonDerivative · entry 1 Smith Angus W. · CIK 0001730835 · SVP, Chief Bus Off & PFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,300 F1 · shares: Represents a grant of restricted share units ("RSUs") that vest in four equal annual installments of 1,250 shares over a four-year period, with the first installment vesting on March 15, 2019, which is the one-year anniversary of the grant date. F2 · balance_after: Consists of (i) the unvested amount of previously awarded RSUs that vest in four equal installments of 825 shares, with the first installment vesting on August 8, 2018, which is the one-year anniversary of the grant date and (ii) and the unvested amount of RSUs that vest as described in footnote 1 above. 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.