Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ARDELYX, INC.ARDX · Entity 4972 | Chief Financial Officer | October 07, 2019 | October 08, 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.
ARDELYX, INC.
Report date October 07, 2019 · Filed October 08, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 141,418 |
Last balance in matching sequence
After 2019-10-07 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2019-10-07 · Exercise / conversion · Acquired 20,000 · Balance 161,418 F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on September 5, 2019. F3: Reflects the adjusted total which includes the purchase of 2,330 shares under the Ardelyx Employee Stock Purchase Plan on August 31, 2019 Row 2 · 2019-10-07 · Sale · Disposed 20,000 · Balance 141,418 F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on September 5, 2019. F2: This transaction was executed in multiple trades in prices ranging from $4.50 to $4.64, inclusive. The price reported in Column 4 above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F3: Reflects the adjusted total which includes the purchase of 2,330 shares under the Ardelyx Employee Stock Purchase Plan on August 31, 2019 |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.54 · Expires 2021-08-11 | Direct | 95,894 |
Reported balance
After 2019-10-07 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-10-07 · Exercise / conversion · Disposed 20,000 · Balance 95,894 F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on September 5, 2019. F4: The option is fully vested and exercisable. |
Filing footnotes · ownership attribution and instrument terms
F1: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on September 5, 2019.
F2: This transaction was executed in multiple trades in prices ranging from $4.50 to $4.64, inclusive. The price reported in Column 4 above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
F3: Reflects the adjusted total which includes the purchase of 2,330 shares under the Ardelyx Employee Stock Purchase Plan on August 31, 2019
F4: The option is fully vested and exercisable.
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 |
|---|---|---|---|---|---|---|
| October 07, 2019 Filed Oct 8, 2019 21:37 UTC | ARDELYX, INC. ARDX · Entity 4972 | Exercise / conversionStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $0.54 | $0.00 |
DisclosureSEC source: 0001567619-19-019357 · doc1.xml · derivative · entry 3 Kaufmann Mark · CIK 0001611184 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,894 Underlying: Common Stock · 20,000 shares Expires 2021-08-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on September 5, 2019. F4 · derivative.exercise_date: The option is fully vested and exercisable. Read SEC document |
| October 07, 2019 Filed Oct 8, 2019 21:37 UTC | ARDELYX, INC. ARDX · Entity 4972 | SaleCommon Stock | 20,000 | $4.56 | $91,190.00 |
DisclosureSEC source: 0001567619-19-019357 · doc1.xml · nonDerivative · entry 2 Kaufmann Mark · CIK 0001611184 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,418 F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on September 5, 2019. F2 · price: This transaction was executed in multiple trades in prices ranging from $4.50 to $4.64, inclusive. The price reported in Column 4 above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F3 · balance_after: Reflects the adjusted total which includes the purchase of 2,330 shares under the Ardelyx Employee Stock Purchase Plan on August 31, 2019 Read SEC document |
| October 07, 2019 Filed Oct 8, 2019 21:37 UTC | ARDELYX, INC. ARDX · Entity 4972 | Exercise / conversionCommon Stock | 20,000 | $0.54 | $10,800.00 |
DisclosureSEC source: 0001567619-19-019357 · doc1.xml · nonDerivative · entry 1 Kaufmann Mark · CIK 0001611184 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,418 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on September 5, 2019. F3 · balance_after: Reflects the adjusted total which includes the purchase of 2,330 shares under the Ardelyx Employee Stock Purchase Plan on August 31, 2019 Read SEC document |
| June 04, 2019 Filed Jun 7, 2019 01:11 UTC | ARDELYX, INC. ARDX · Entity 4972 | SaleCommon Stock | 3,357 | $2.55 | $8,550.95 |
DisclosureSEC source: 0001567619-19-012994 · doc1.xml · nonDerivative · entry 1 Kaufmann Mark · CIK 0001611184 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,088 F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes. F2 · price: This transaction was executed in multiple trades in prices ranging from $2.5200 to $2.5745, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F3 · balance_after: Includes 2,512 shares acquired under the Issuer's Employee Stock Purchase Plan on February 28, 2019. Read SEC document |
| January 17, 2019 Filed Jan 22, 2019 22:07 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantStock Option · Derivative | 120,000 | $0.00 Strike: $2.32 | $0.00 |
DisclosureSEC source: 0001567619-19-001442 · doc1.xml · derivative · entry 1 Kaufmann Mark · CIK 0001611184 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,000 Underlying: Common Stock · 120,000 shares Expires 2029-01-17 F1 · derivative.exercise_date: The option becomes exercisable as it vests and the shares subject to the option vest in 48 successive, equal monthly installments on each monthly anniversary of January 17, 2019, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. Read SEC document |
| January 02, 2019 Filed Jan 5, 2019 00:11 UTC | ARDELYX, INC. ARDX · Entity 4972 | SaleCommon Stock | 6,556 | $1.70 | $11,154.38 |
DisclosureSEC source: 0001567619-19-000641 · doc1.xml · nonDerivative · entry 1 Kaufmann Mark · CIK 0001611184 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,933 F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes. F2 · price: This transaction was executed in multiple trades in prices ranging from $1.70 to $1.7305, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Read SEC document |
| November 13, 2018 Filed Nov 15, 2018 22:40 UTC | ARDELYX, INC. ARDX · Entity 4972 | SaleCommon Stock | 6,539 | $2.84 | $18,570.76 |
DisclosureSEC source: 0001567619-18-006486 · doc1.xml · nonDerivative · entry 1 Kaufmann Mark · CIK 0001611184 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 146,489 F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes. F2 · price: This transaction was executed in multiple trades in prices ranging from $2.81 to $2.84, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. F3 · balance_after: Includes 1,642 shares acquired under the Issuer's Employee Stock Purchase Plan on August 31, 2018. Read SEC document |
| July 26, 2018 Filed Jul 30, 2018 23:50 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantStock Option (Right to Buy) · Derivative | 54,730 | $0.00 Strike: $4.30 | $0.00 |
DisclosureSEC source: 0001140361-18-034302 · doc1.xml · derivative · entry 2 Kaufmann Mark · CIK 0001611184 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,730 Underlying: Common Stock · 54,730 shares Expires 2028-07-26 F3 · derivative.exercise_date: The option becomes exercisable as it vests and the shares subject to the option vest with respect to 1/48 of the shares subject thereto on each monthly anniversary of July 26, 2018, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. Read SEC document |
| July 26, 2018 Filed Jul 30, 2018 23:50 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-034302 · doc1.xml · nonDerivative · entry 1 Kaufmann Mark · CIK 0001611184 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,386 F1 · shares: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) share of Common Stock for each one (1) RSU upon the vesting thereof. F2 · balance_after: Includes (i) an aggregate of 2,708 shares acquired under the Issuer's Employee Stock Purchase Plan on August 31, 2017 and February 28, 2018, and (ii) 90 shares which were inadvertently omitted from the Reporting Person's Form 4 filed on August 11, 2017. Read SEC document |
| January 16, 2018 Filed Jan 19, 2018 00:51 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantStock Option (Right to Buy) · Derivative | 117,104 | $0.00 Strike: $7.10 | $0.00 |
DisclosureSEC source: 0001140361-18-002463 · doc1.xml · derivative · entry 1 Kaufmann Mark · CIK 0001611184 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,104 Underlying: Common Stock · 117,104 shares Expires 2028-01-16 F1 · derivative.exercise_date: The option becomes exercisable as it vests and the shares subject to the option vest in 48 successive, equal monthly installments on each monthly anniversary of January 16, 2018, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. Read SEC document |
| August 09, 2017 Filed Aug 11, 2017 21:09 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantStock Option (Right to Buy) · Derivative | 26,512 | $0.00 Strike: $4.70 | $0.00 |
DisclosureSEC source: 0001140361-17-031448 · doc1.xml · derivative · entry 2 Kaufmann Mark · CIK 0001611184 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,512 Underlying: Common Stock · 26,512 shares Expires 2027-08-09 F3 · derivative.exercise_date: The option becomes exercisable as it vests and the shares subject to the option vest with respect to 2/3 of the shares subject thereto on December 31, 2018 and 1/3 of the shares subject thereto on June 1, 2019, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. Read SEC document |
| August 07, 2017 Filed Aug 11, 2017 21:09 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantCommon Stock | 26,512 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-031448 · doc1.xml · nonDerivative · entry 1 Kaufmann Mark · CIK 0001611184 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,588 F1 · shares: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) share of Common Stock for each one (1) RSU upon the vesting thereof. F2 · balance_after: Includes 581 shares acquired by the Reporting Person on February 28, 2017 under the Company's Employee Stock Purchase Plan. Read SEC document |
| January 19, 2017 Filed Jan 24, 2017 01:53 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantStock Option (Right to Buy) · Derivative | 74,233 | $0.00 Strike: $13.90 | $0.00 |
DisclosureSEC source: 0001140361-17-002605 · doc1.xml · derivative · entry 2 Kaufmann Mark · CIK 0001611184 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,233 Underlying: Common Stock · 74,233 shares Expires 2027-01-19 F3 · derivative.exercise_date: The option becomes exercisable as it vests and the shares subject to the option vest in 48 successive, equal monthly installments on each monthly anniversary of January 19, 2017, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. Read SEC document |
| January 19, 2017 Filed Jan 24, 2017 01:53 UTC | ARDELYX, INC. ARDX · Entity 4972 | GrantCommon Stock | 17,985 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-002605 · doc1.xml · nonDerivative · entry 1 Kaufmann Mark · CIK 0001611184 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,585 F1 · shares: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) shares of Common Stock for each one (1) RSU upon the vesting thereof. F2 · balance_after: Includes an aggregate of 2,318 shares acquired under the Issuer's Employee Stock Purchase Plan on February 29, 2016 and August 31, 2016. 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.