Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AgomAb Therapeutics NVAGMB · Entity 5259 | Director | October 08, 2026 | October 09, 2026 |
| Axcella Health Inc.AXLA · Entity 116059 | Director | May 19, 2022 | June 03, 2022 |
| Evelo Biosciences, Inc.EVLO · Entity 108468 | Director | June 30, 2022 | June 30, 2022 |
| INTERNATIONAL FLAVORS & FRAGRANCES INCIFF · Entity 3234 | Director | November 02, 2020 | November 04, 2020 |
| Opy Acquisition Corp. IOHAA · Entity 133726 | Director | October 26, 2021 | October 27, 2021 |
| Rubius Therapeutics, Inc.RUBY · Entity 116417 | Director | May 12, 2022 | May 13, 2022 |
| Senti Biosciences Holdings, Inc.SNTI · Entity 7935 | Director | July 13, 2022 | July 15, 2022 |
| Tempus AI, Inc.TEM · Entity 1545 | Director | September 01, 2026 | September 03, 2026 |
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.
AgomAb Therapeutics NV
Report date October 08, 2026 · Filed October 09, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common sharesSEC Table I · non-derivative | Direct | 15,000 |
Reported balance
After 2026-10-08 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-10-08 · Purchase · Acquired 5,000 · Balance 15,000 F1: The common shares may be represented by American Depositary Shares, each of which currently represents one common share. |
Filing footnotes · ownership attribution and instrument terms
F1: The common shares may be represented by American Depositary Shares, each of which currently represents one common share.
Axcella Health Inc.
Report date May 19, 2022 · Filed June 03, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 209,756 |
Reported balance
After 2022-05-19 transaction · row 1
1 source rowRow 1 · 2022-05-19 · Grant · Acquired 47,059 · Balance 209,756 F1: Represents a grant of 47,059 restricted stock units ("RSUs"), each representing a contingent right to receive one share of AXLA common stock. The shares underlying this grant shall vest in twelve equal monthly installments following the grant date, subject to the Reporting Person's continued service on each such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents a grant of 47,059 restricted stock units ("RSUs"), each representing a contingent right to receive one share of AXLA common stock. The shares underlying this grant shall vest in twelve equal monthly installments following the grant date, subject to the Reporting Person's continued service on each such vesting date.
Evelo Biosciences, Inc.
Report date June 30, 2022 · Filed June 30, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 93,932 |
Ending reported balance
After 2022-06-30 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2022-06-30 · Exercise / conversion · Acquired 2,053 · Balance 91,058 F1: Settlement of shares of Common Stock acquired upon the vesting of Restricted Stock Units previously granted to the reporting person. Row 2 · 2022-06-30 · Exercise / conversion · Acquired 2,874 · Balance 93,932 F1: Settlement of shares of Common Stock acquired upon the vesting of Restricted Stock Units previously granted to the reporting person. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2022-06-30 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2022-06-30 · Exercise / conversion · Disposed 2,053 · Balance 0 F2: The Restricted Stock Units vest in 12 substantially equal monthly installments following the June 30, 2021 grant date, subject to the reporting person's continued service as chair of the board of directors of the issuer on such vesting dates. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2022-06-30 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2022-06-30 · Exercise / conversion · Disposed 2,874 · Balance 0 F3: The Restricted Stock Units vest in 12 substantially equal monthly installments following the June 30, 2021 grant date, subject to the reporting person's continued service as a consultant to the issuer on such vesting dates. |
Filing footnotes · ownership attribution and instrument terms
F1: Settlement of shares of Common Stock acquired upon the vesting of Restricted Stock Units previously granted to the reporting person.
F2: The Restricted Stock Units vest in 12 substantially equal monthly installments following the June 30, 2021 grant date, subject to the reporting person's continued service as chair of the board of directors of the issuer on such vesting dates.
F3: The Restricted Stock Units vest in 12 substantially equal monthly installments following the June 30, 2021 grant date, subject to the reporting person's continued service as a consultant to the issuer on such vesting dates.
INTERNATIONAL FLAVORS & FRAGRANCES INC
Report date November 02, 2020 · Filed November 04, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Equivalent UnitSEC Table II · derivative / convertible security | Direct | 6,397.471 |
Reported balance
After 2020-11-02 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-11-02 · Grant · Acquired 1,070.715 · Balance 6,397.471 F1: The Stock Equivalent Units ("Units") convert to Common Stock on a one-for-one basis. F2: Units under the Company's deferred compensation plan resulting from deferral of director fees. F3: The Units are payable in Common Stock upon the reporting person ceasing to serve as a member of the Company's Board of Directors. F4: Includes Units acquired during the period upon reinvestment of dividends under the Company's deferred compensation plan during 2020. The transactions were exempt pursuant to Rule 16a-11. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Expires 2021-05-06 | Direct | 1,047 |
Reported balance
Holding disclosure · report date 2020-11-02 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 1,047 F5: The Restricted Stock Units ("RSUs") convert to Common Stock on a one-for-one basis. |
Filing footnotes · ownership attribution and instrument terms
F1: The Stock Equivalent Units ("Units") convert to Common Stock on a one-for-one basis.
F2: Units under the Company's deferred compensation plan resulting from deferral of director fees.
F3: The Units are payable in Common Stock upon the reporting person ceasing to serve as a member of the Company's Board of Directors.
F4: Includes Units acquired during the period upon reinvestment of dividends under the Company's deferred compensation plan during 2020. The transactions were exempt pursuant to Rule 16a-11.
F5: The Restricted Stock Units ("RSUs") convert to Common Stock on a one-for-one basis.
Opy Acquisition Corp. I
Report date October 26, 2021 · Filed October 27, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2021-10-26 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 |
Rubius Therapeutics, Inc.
Report date May 12, 2022 · Filed May 13, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.24 · Expires 2032-05-11 | Direct | 499,762 |
Reported balance
After 2022-05-12 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-05-12 · Grant · Acquired 499,762 · Balance 499,762 F1: This option is fully vested at the time of grant. |
Filing footnotes · ownership attribution and instrument terms
F1: This option is fully vested at the time of grant.
Senti Biosciences Holdings, Inc.
Report date July 13, 2022 · Filed July 15, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.75 · Expires 2032-07-12 | Direct | 125,000 |
Reported balance
After 2022-07-13 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-07-13 · Grant · Acquired 125,000 · Balance 125,000 F1: The shares underlying this option vest in 36 substantially equal monthly installments over three years from July 13, 2022, subject to the reporting person's continued service through the applicable vesting date. The vested shares subject to such option shall be exercisable upon the effectiveness of the Issuer's registration statement on Form S-8, registering the shares of the Issuer's 2022 Equity Incentive Plan with the U.S. Securities and Exchange Commission. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares underlying this option vest in 36 substantially equal monthly installments over three years from July 13, 2022, subject to the reporting person's continued service through the applicable vesting date. The vested shares subject to such option shall be exercisable upon the effectiveness of the Issuer's registration statement on Form S-8, registering the shares of the Issuer's 2022 Equity Incentive Plan with the U.S. Securities and Exchange Commission.
Tempus AI, Inc.
Report date September 01, 2026 · Filed September 03, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 30,844 |
Reported balance
After 2026-09-01 transaction · row 1
1 source rowRow 1 · 2026-09-01 · Sale · Disposed 250 · Balance 30,844 F1: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 27, 2024. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 27, 2024.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Seagen Inc.
Report date December 14, 2023 · Filed December 15, 2023
Section 16 reporting ended · disclosed 2023-12-15. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2023-12-14 transaction · row 1
1 source rowRow 1 · 2023-12-14 · Disposition to issuer · Disposed 16,407 · Balance 0 F1: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger"). F2: Pursuant to the Merger Agreement, at the Effective Time, each issued and outstanding share of Common Stock (other than certain excluded shares described in the Merger Agreement) was cancelled and converted automatically into the right to receive cash in an amount equal to $229.00 per share of Common Stock (the "Merger Consideration"). |
| Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $137.96 · Expires 2032-11-09 | Direct | 0 |
Reported balance
After 2023-12-14 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-12-14 · Disposition to issuer · Disposed 2,896 · Balance 0 F1: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger"). F3: Pursuant to the Merger Agreement, each outstanding option, whether or not then vested, was cancelled in exchange for the right to receive an amount in cash equal to the product of (i) the excess, if any, of the Merger Consideration over the per-share exercise price of such option, multiplied by (ii) the number of shares of Common Stock then subject to such option. |
| Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $137.96 · Expires 2032-11-09 | Direct | 0 |
Reported balance
After 2023-12-14 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-12-14 · Disposition to issuer · Disposed 240,451 · Balance 0 F1: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger"). F3: Pursuant to the Merger Agreement, each outstanding option, whether or not then vested, was cancelled in exchange for the right to receive an amount in cash equal to the product of (i) the excess, if any, of the Merger Consideration over the per-share exercise price of such option, multiplied by (ii) the number of shares of Common Stock then subject to such option. |
| Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $137.96 · Expires 2032-11-09 | Direct | 0 |
Reported balance
After 2023-12-14 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2023-12-14 · Disposition to issuer · Disposed 224,000 · Balance 0 F1: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger"). F3: Pursuant to the Merger Agreement, each outstanding option, whether or not then vested, was cancelled in exchange for the right to receive an amount in cash equal to the product of (i) the excess, if any, of the Merger Consideration over the per-share exercise price of such option, multiplied by (ii) the number of shares of Common Stock then subject to such option. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2023-12-14 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2023-12-14 · Disposition to issuer · Disposed 80,541 · Balance 0 F4: Pursuant to the Merger Agreement, at the Effective Time, each outstanding restricted stock unit (each, a "Company RSU"), other than any Post-Signing Company RSU (as defined below), was cancelled and converted into the right to receive an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company RSU. F1: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger"). |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2023-12-14 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2023-12-14 · Disposition to issuer · Disposed 39,650 · Balance 0 F5: Pursuant to the Merger Agreement, at the Effective Time, each outstanding Company RSU granted after March 12, 2023 that was unvested as of immediately prior to the Effective Time (each, a "Post-Signing Company RSU") was cancelled and converted into the right to receive a Parent cash-based award subject to service-based vesting requirements with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Post-Signing Company RSU. F1: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger"). |
| Performance Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2023-12-14 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2023-12-14 · Disposition to issuer · Disposed 2,644 · Balance 0 F6: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit (each, a "Company PSU"), other than any Company Products PSU or any Company August 2023 PSU (each, as defined below), was cancelled and converted into the right to receive cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company PSU, based on the greater of the target and actual performance. Amounts are shown here based on actual performance. F1: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger"). |
| Performance Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2023-12-14 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2023-12-14 · Disposition to issuer · Disposed 6,608 · Balance 0 F6: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit (each, a "Company PSU"), other than any Company Products PSU or any Company August 2023 PSU (each, as defined below), was cancelled and converted into the right to receive cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company PSU, based on the greater of the target and actual performance. Amounts are shown here based on actual performance. F1: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger"). |
| Performance Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2023-12-14 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2023-12-14 · Disposition to issuer · Disposed 3,965 · Balance 0 F6: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit (each, a "Company PSU"), other than any Company Products PSU or any Company August 2023 PSU (each, as defined below), was cancelled and converted into the right to receive cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company PSU, based on the greater of the target and actual performance. Amounts are shown here based on actual performance. F1: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger"). |
| Performance Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2023-12-14 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2023-12-14 · Disposition to issuer · Disposed 5,286 · Balance 0 F7: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit granted in August 2023 (each, a "Company August 2023 PSU") that was unvested as of immediately prior to the Effective Time, was cancelled and converted into the right to receive a Parent cash-based award with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company August 2023 PSU, based on target performance. F1: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger"). |
| Performance Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2023-12-14 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2023-12-14 · Disposition to issuer · Disposed 13,217 · Balance 0 F7: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit granted in August 2023 (each, a "Company August 2023 PSU") that was unvested as of immediately prior to the Effective Time, was cancelled and converted into the right to receive a Parent cash-based award with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company August 2023 PSU, based on target performance. F1: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger"). |
| Performance Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2023-12-14 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2023-12-14 · Disposition to issuer · Disposed 7,930 · Balance 0 F7: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit granted in August 2023 (each, a "Company August 2023 PSU") that was unvested as of immediately prior to the Effective Time, was cancelled and converted into the right to receive a Parent cash-based award with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company August 2023 PSU, based on target performance. F1: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger"). |
Filing footnotes · ownership attribution and instrument terms
F1: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").
F2: Pursuant to the Merger Agreement, at the Effective Time, each issued and outstanding share of Common Stock (other than certain excluded shares described in the Merger Agreement) was cancelled and converted automatically into the right to receive cash in an amount equal to $229.00 per share of Common Stock (the "Merger Consideration").
F3: Pursuant to the Merger Agreement, each outstanding option, whether or not then vested, was cancelled in exchange for the right to receive an amount in cash equal to the product of (i) the excess, if any, of the Merger Consideration over the per-share exercise price of such option, multiplied by (ii) the number of shares of Common Stock then subject to such option.
F4: Pursuant to the Merger Agreement, at the Effective Time, each outstanding restricted stock unit (each, a "Company RSU"), other than any Post-Signing Company RSU (as defined below), was cancelled and converted into the right to receive an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company RSU.
F5: Pursuant to the Merger Agreement, at the Effective Time, each outstanding Company RSU granted after March 12, 2023 that was unvested as of immediately prior to the Effective Time (each, a "Post-Signing Company RSU") was cancelled and converted into the right to receive a Parent cash-based award subject to service-based vesting requirements with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Post-Signing Company RSU.
F6: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit (each, a "Company PSU"), other than any Company Products PSU or any Company August 2023 PSU (each, as defined below), was cancelled and converted into the right to receive cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company PSU, based on the greater of the target and actual performance. Amounts are shown here based on actual performance.
F7: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit granted in August 2023 (each, a "Company August 2023 PSU") that was unvested as of immediately prior to the Effective Time, was cancelled and converted into the right to receive a Parent cash-based award with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company August 2023 PSU, based on target performance.
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 01, 2021 Filed Oct 1, 2021 16:42 UTC | Evelo Biosciences, Inc. EVLO · Entity 108468 | Exercise / conversionCommon Stock | 2,053 | $0.00 | $0.00 |
DisclosureSEC source: 0001694665-21-000134 · wf-form4_163312090860233.xml · nonDerivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,603 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: Settlement of shares of Common Stock acquired upon the vesting of Restricted Stock Units previously granted to the reporting person. F1 · acquired: Settlement of shares of Common Stock acquired upon the vesting of Restricted Stock Units previously granted to the reporting person. Read SEC document |
| September 17, 2021 Filed Sep 20, 2021 20:31 UTC | Axcella Health Inc. AXLA · Entity 116059 | Exercise / conversionRestricted Stock Units · Derivative | 1,535 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-117370 · tm2127965-1_4seq1.xml · derivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,208 Underlying: Common Stock · 1,535 shares Expires not disclosed 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of AXLA common stock. F2 · derivative.exercise_date: The RSUs shall vest in 12 equal monthly installments, with the first installment vested on April 18, 2021. F2 · derivative.expiration_date: The RSUs shall vest in 12 equal monthly installments, with the first installment vested on April 18, 2021. Read SEC document |
| September 17, 2021 Filed Sep 20, 2021 20:31 UTC | Axcella Health Inc. AXLA · Entity 116059 | Exercise / conversionCommon Stock | 1,535 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-117370 · tm2127965-1_4seq1.xml · nonDerivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,311 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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of AXLA common stock. Read SEC document |
| September 03, 2021 Filed Sep 3, 2021 16:55 UTC | Evelo Biosciences, Inc. EVLO · Entity 108468 | Exercise / conversionRestricted Stock Units · Derivative | 5,746 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001694665-21-000114 · wf-form4_163070251648271.xml · derivative · entry 4 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,734 Underlying: Common Stock · 5,746 shares Expires not disclosed 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. F3 · derivative.exercise_date: The Restricted Stock Units vest in 12 substantially equal monthly installments following the June 30, 2021 grant date, subject to the reporting person's continued service as a consultant to the issuer on such vesting dates. F3 · derivative.expiration_date: The Restricted Stock Units vest in 12 substantially equal monthly installments following the June 30, 2021 grant date, subject to the reporting person's continued service as a consultant to the issuer on such vesting dates. Read SEC document |
| September 03, 2021 Filed Sep 3, 2021 16:55 UTC | Evelo Biosciences, Inc. EVLO · Entity 108468 | Exercise / conversionRestricted Stock Units · Derivative | 4,104 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001694665-21-000114 · wf-form4_163070251648271.xml · derivative · entry 3 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,525 Underlying: Common Stock · 4,104 shares Expires not disclosed 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. F2 · derivative.exercise_date: The Restricted Stock Units vest in 12 substantially equal monthly installments following the June 30, 2021 grant date, subject to the reporting person's continued service as chair of the board of directors of the issuer on such vesting dates. F2 · derivative.expiration_date: The Restricted Stock Units vest in 12 substantially equal monthly installments following the June 30, 2021 grant date, subject to the reporting person's continued service as chair of the board of directors of the issuer on such vesting dates. Read SEC document |
| September 03, 2021 Filed Sep 3, 2021 16:55 UTC | Evelo Biosciences, Inc. EVLO · Entity 108468 | Exercise / conversionCommon Stock | 5,746 | $0.00 | $0.00 |
DisclosureSEC source: 0001694665-21-000114 · wf-form4_163070251648271.xml · nonDerivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,550 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: Settlement of shares of Common Stock acquired upon the vesting of Restricted Stock Units previously granted to the reporting person. F1 · acquired: Settlement of shares of Common Stock acquired upon the vesting of Restricted Stock Units previously granted to the reporting person. Read SEC document |
| September 03, 2021 Filed Sep 3, 2021 16:55 UTC | Evelo Biosciences, Inc. EVLO · Entity 108468 | Exercise / conversionCommon Stock | 4,104 | $0.00 | $0.00 |
DisclosureSEC source: 0001694665-21-000114 · wf-form4_163070251648271.xml · nonDerivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,804 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: Settlement of shares of Common Stock acquired upon the vesting of Restricted Stock Units previously granted to the reporting person. F1 · acquired: Settlement of shares of Common Stock acquired upon the vesting of Restricted Stock Units previously granted to the reporting person. Read SEC document |
| August 18, 2021 Filed Aug 19, 2021 20:15 UTC | Axcella Health Inc. AXLA · Entity 116059 | Exercise / conversionRestricted Stock Units · Derivative | 1,534 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-107742 · tm2125506-1_4seq1.xml · derivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,743 Underlying: Common Stock · 1,534 shares Expires not disclosed 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of AXLA common stock. F2 · derivative.exercise_date: The RSUs shall vest in 12 equal monthly installments, with the first installment vested on April 18, 2021. F2 · derivative.expiration_date: The RSUs shall vest in 12 equal monthly installments, with the first installment vested on April 18, 2021. Read SEC document |
| August 18, 2021 Filed Aug 19, 2021 20:15 UTC | Axcella Health Inc. AXLA · Entity 116059 | Exercise / conversionCommon Stock | 1,534 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-107742 · tm2125506-1_4seq1.xml · nonDerivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,776 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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of AXLA common stock. Read SEC document |
| July 16, 2021 Filed Jul 20, 2021 20:31 UTC | Axcella Health Inc. AXLA · Entity 116059 | Exercise / conversionRestricted Stock Units · Derivative | 1,535 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-093986 · tm2122643-1_4seq1.xml · derivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,277 Underlying: Common Stock · 1,535 shares Expires not disclosed 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of AXLA common stock. F2 · derivative.exercise_date: The RSUs shall vest in 12 equal monthly installments, with the first installment vested on April 18, 2021. F2 · derivative.expiration_date: The RSUs shall vest in 12 equal monthly installments, with the first installment vested on April 18, 2021. Read SEC document |
| July 16, 2021 Filed Jul 20, 2021 20:31 UTC | Axcella Health Inc. AXLA · Entity 116059 | Exercise / conversionCommon Stock | 1,535 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-093986 · tm2122643-1_4seq1.xml · nonDerivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,242 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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of AXLA common stock. Read SEC document |
| June 30, 2021 Filed Jul 2, 2021 16:25 UTC | Evelo Biosciences, Inc. EVLO · Entity 108468 | GrantRestricted Stock Units · Derivative | 34,480 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001694665-21-000102 · wf-form4_162525752952134.xml · derivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,480 Underlying: Common Stock · 34,480 shares Expires not disclosed F2 · derivative.exercise_date: The restricted stock units will vest in 12 substantially equal monthly installment following the grant date, subject to the reporting person's continued service as a consultant to the issuer on such vesting dates. F2 · derivative.expiration_date: The restricted stock units will vest in 12 substantially equal monthly installment following the grant date, subject to the reporting person's continued service as a consultant to the issuer on such vesting dates. Read SEC document |
| June 30, 2021 Filed Jul 2, 2021 16:25 UTC | Evelo Biosciences, Inc. EVLO · Entity 108468 | GrantRestricted Stock Units · Derivative | 24,629 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001694665-21-000102 · wf-form4_162525752952134.xml · derivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,629 Underlying: Common Stock · 24,629 shares Expires not disclosed F1 · derivative.exercise_date: The restricted stock units will vest in 12 substantially equal monthly installment following the grant date, subject to the reporting person's continued service as chair of the board of directors of the issuer on such vesting dates. F1 · derivative.expiration_date: The restricted stock units will vest in 12 substantially equal monthly installment following the grant date, subject to the reporting person's continued service as chair of the board of directors of the issuer on such vesting dates. Read SEC document |
| June 18, 2021 Filed Jun 21, 2021 21:42 UTC | Axcella Health Inc. AXLA · Entity 116059 | Exercise / conversionRestricted Stock Units · Derivative | 1,535 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-083628 · tm2120268-1_4seq1.xml · derivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,812 Underlying: Common Stock · 1,535 shares Expires not disclosed 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of AXLA common stock. F2 · derivative.exercise_date: The RSUs shall vest in 12 equal monthly installments, with the first installment vested on April 18, 2021. F2 · derivative.expiration_date: The RSUs shall vest in 12 equal monthly installments, with the first installment vested on April 18, 2021. Read SEC document |
| June 18, 2021 Filed Jun 21, 2021 21:42 UTC | Axcella Health Inc. AXLA · Entity 116059 | Exercise / conversionCommon Stock | 1,535 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-083628 · tm2120268-1_4seq1.xml · nonDerivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,707 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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of AXLA common stock. Read SEC document |
| May 18, 2021 Filed May 20, 2021 20:31 UTC | Axcella Health Inc. AXLA · Entity 116059 | Exercise / conversionRestricted Stock Units · Derivative | 1,534 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-069928 · tm2116997-1_4seq1.xml · derivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,347 Underlying: Common Stock · 1,534 shares Expires not disclosed 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of AXLA common stock. F2 · derivative.exercise_date: The RSUs shall vest in 12 equal monthly installments, with the first installment vested on April 18, 2021. F2 · derivative.expiration_date: The RSUs shall vest in 12 equal monthly installments, with the first installment vested on April 18, 2021. Read SEC document |
| May 18, 2021 Filed May 20, 2021 20:31 UTC | Axcella Health Inc. AXLA · Entity 116059 | Exercise / conversionCommon Stock | 1,534 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-069928 · tm2116997-1_4seq1.xml · nonDerivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,172 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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of AXLA common stock. Read SEC document |
| May 12, 2021 Filed May 13, 2021 20:35 UTC | Rubius Therapeutics, Inc. RUBY · Entity 116417 | GrantStock Option (Right to Buy) · Derivative | 27,919 | $0.00 Strike: $23.25 | $0.00 |
DisclosureSEC source: 0001179110-21-005318 · edgar.xml · derivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,919 Underlying: Common Stock · 27,919 shares Expires 2031-05-11 F1 · derivative.exercise_date: This option is fully vested at the time of grant. Read SEC document |
| April 18, 2021 Filed Apr 20, 2021 20:58 UTC | Axcella Health Inc. AXLA · Entity 116059 | Exercise / conversionRestricted Stock Units · Derivative | 1,535 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-052603 · tm2113584-1_4seq1.xml · derivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,881 Underlying: Common Stock · 1,535 shares Expires not disclosed 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 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive on share of AXLA common stock. F2 · derivative.exercise_date: The RSUs shall vest in 12 equal monthly installments, with the first installment vested on April 18, 2021. F2 · derivative.expiration_date: The RSUs shall vest in 12 equal monthly installments, with the first installment vested on April 18, 2021. Read SEC document |
| April 18, 2021 Filed Apr 20, 2021 20:58 UTC | Axcella Health Inc. AXLA · Entity 116059 | Exercise / conversionCommon Stock | 1,535 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-052603 · tm2113584-1_4seq1.xml · nonDerivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,638 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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive on share of AXLA common stock. Read SEC document |
| March 18, 2021 Filed Mar 22, 2021 20:16 UTC | Axcella Health Inc. AXLA · Entity 116059 | GrantStock Option (Right to Buy) · Derivative | 120,000 | $0.00 Strike: $5.43 | $0.00 |
DisclosureSEC source: 0001104659-21-039709 · tm2110273-3_4seq1.xml · derivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,000 Underlying: Common Stock · 120,000 shares Expires 2031-03-17 F3 · derivative.exercise_date: This option shall vest in 12 equal monthly installments, with the first installment vesting on April 18, 2021. Read SEC document |
| March 18, 2021 Filed Mar 22, 2021 20:16 UTC | Axcella Health Inc. AXLA · Entity 116059 | GrantRestricted Stock Units · Derivative | 18,416 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-039709 · tm2110273-3_4seq1.xml · derivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,416 Underlying: Common Stock · 18,416 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive on share of AXLA common stock. F2 · derivative.exercise_date: The RSUs shall vest in 12 equal monthly installments, with the first installment vesting on April 18, 2021. F2 · derivative.expiration_date: The RSUs shall vest in 12 equal monthly installments, with the first installment vesting on April 18, 2021. Read SEC document |
| February 11, 2021 Filed Feb 16, 2021 21:51 UTC | Rubius Therapeutics, Inc. RUBY · Entity 116417 | SaleCommon Stock | 26,704 | $14.93 | $398,559.87 |
DisclosureSEC source: 0001179110-21-001776 · edgar.xml · nonDerivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,690,012 F1 · kind: The sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.75 to $15.08, inclusive. The reporting person undertakes to provide to Rubius Therapeutics, Inc., any security holder of Rubius Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| February 10, 2021 Filed Feb 10, 2021 21:12 UTC | Rubius Therapeutics, Inc. RUBY · Entity 116417 | SaleCommon Stock | 7,404 | $14.79 | $109,525.15 |
DisclosureSEC source: 0001179110-21-001566 · edgar.xml · nonDerivative · entry 3 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,716,716 F1 · kind: The sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.75 to $14.87, inclusive. The reporting person undertakes to provide to Rubius Therapeutics, Inc., any security holder of Rubius Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| February 09, 2021 Filed Feb 10, 2021 21:12 UTC | Rubius Therapeutics, Inc. RUBY · Entity 116417 | SaleCommon Stock | 2,100 | $14.83 | $31,145.94 |
DisclosureSEC source: 0001179110-21-001566 · edgar.xml · nonDerivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,724,120 F1 · kind: The sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.75 to $14.90, inclusive. The reporting person undertakes to provide to Rubius Therapeutics, Inc., any security holder of Rubius Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| February 08, 2021 Filed Feb 10, 2021 21:12 UTC | Rubius Therapeutics, Inc. RUBY · Entity 116417 | SaleCommon Stock | 89,233 | $14.88 | $1,328,117.20 |
DisclosureSEC source: 0001179110-21-001566 · edgar.xml · nonDerivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,726,220 F1 · kind: The sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.75 to $15.05, inclusive. The reporting person undertakes to provide to Rubius Therapeutics, Inc., any security holder of Rubius Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| December 11, 2020 Filed Dec 14, 2020 17:15 UTC | Evelo Biosciences, Inc. EVLO · Entity 108468 | PurchaseCommon Stock | 200 | $7.02 | $1,404.00 |
DisclosureSEC source: 0001694665-20-000099 · wf-form4_160798411860301.xml · nonDerivative · entry 7 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,700 Read SEC document |
| December 11, 2020 Filed Dec 14, 2020 17:15 UTC | Evelo Biosciences, Inc. EVLO · Entity 108468 | PurchaseCommon Stock | 500 | $6.98 | $3,490.00 |
DisclosureSEC source: 0001694665-20-000099 · wf-form4_160798411860301.xml · nonDerivative · entry 6 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Read SEC document |
| December 11, 2020 Filed Dec 14, 2020 17:15 UTC | Evelo Biosciences, Inc. EVLO · Entity 108468 | PurchaseCommon Stock | 1,000 | $6.91 | $6,910.00 |
DisclosureSEC source: 0001694665-20-000099 · wf-form4_160798411860301.xml · nonDerivative · entry 5 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,000 Read SEC document |
| December 11, 2020 Filed Dec 14, 2020 17:15 UTC | Evelo Biosciences, Inc. EVLO · Entity 108468 | PurchaseCommon Stock | 800 | $7.16 | $5,728.00 |
DisclosureSEC source: 0001694665-20-000099 · wf-form4_160798411860301.xml · nonDerivative · entry 4 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,000 Read SEC document |
| December 11, 2020 Filed Dec 14, 2020 17:15 UTC | Evelo Biosciences, Inc. EVLO · Entity 108468 | PurchaseCommon Stock | 4,970 | $6.49 | $32,255.30 |
DisclosureSEC source: 0001694665-20-000099 · wf-form4_160798411860301.xml · nonDerivative · entry 3 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,200 Read SEC document |
| December 11, 2020 Filed Dec 14, 2020 17:15 UTC | Evelo Biosciences, Inc. EVLO · Entity 108468 | PurchaseCommon Stock | 30 | $6.45 | $193.50 |
DisclosureSEC source: 0001694665-20-000099 · wf-form4_160798411860301.xml · nonDerivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,230 Read SEC document |
| December 11, 2020 Filed Dec 14, 2020 17:15 UTC | Evelo Biosciences, Inc. EVLO · Entity 108468 | PurchaseCommon Stock | 200 | $6.40 | $1,280.00 |
DisclosureSEC source: 0001694665-20-000099 · wf-form4_160798411860301.xml · nonDerivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,200 Read SEC document |
| November 02, 2020 Filed Nov 4, 2020 22:15 UTC | INTERNATIONAL FLAVORS & FRAGRANCES INC IFF · Entity 3234 | GrantStock Equivalent Unit · Derivative | 1,070.715 | $105.07 | $112,500.03 |
DisclosureSEC source: 0001225208-20-013047 · doc4.xml · derivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,397.471 Underlying: Common Stock · 1,070.715 shares Expires not disclosed F1 · derivative.exercise_price: The Stock Equivalent Units ("Units") convert to Common Stock on a one-for-one basis. F2 · shares: Units under the Company's deferred compensation plan resulting from deferral of director fees. F3 · derivative.exercise_date: The Units are payable in Common Stock upon the reporting person ceasing to serve as a member of the Company's Board of Directors. F3 · derivative.expiration_date: The Units are payable in Common Stock upon the reporting person ceasing to serve as a member of the Company's Board of Directors. F4 · balance_after: Includes Units acquired during the period upon reinvestment of dividends under the Company's deferred compensation plan during 2020. The transactions were exempt pursuant to Rule 16a-11. Read SEC document |
| October 11, 2020 Filed Oct 14, 2020 17:53 UTC | Evelo Biosciences, Inc. EVLO · Entity 108468 | GrantStock Option (Right to Buy) · Derivative | 44,743 | $0.00 Strike: $5.66 | $0.00 |
DisclosureSEC source: 0001694665-20-000083 · wf-form4_160271241051486.xml · derivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,743 Underlying: Common Stock · 44,743 shares Expires 2030-10-11 F2 · derivative.exercise_date: These options vest in 9 monthly installments commencing as of October 16, 2020 (fully vested as of June 16, 2021) and have a term of 10 years. Read SEC document |
| October 11, 2020 Filed Oct 14, 2020 17:53 UTC | Evelo Biosciences, Inc. EVLO · Entity 108468 | GrantStock Option (Right to Buy) · Derivative | 59,395 | $0.00 Strike: $5.66 | $0.00 |
DisclosureSEC source: 0001694665-20-000083 · wf-form4_160271241051486.xml · derivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,395 Underlying: Common Stock · 59,395 shares Expires 2030-10-11 F1 · derivative.exercise_date: These options vest in 12 monthly installments commencing as of October 16, 2020 (fully vested as of September 16, 2021) and have a term of 10 years. Read SEC document |
| August 31, 2020 Filed Sep 1, 2020 16:13 UTC | Evelo Biosciences, Inc. EVLO · Entity 108468 | PurchaseCommon Stock | 1,000 | $4.58 | $4,580.00 |
DisclosureSEC source: 0001694665-20-000081 · wf-form4_159899118710740.xml · nonDerivative · entry 6 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Read SEC document |
| August 31, 2020 Filed Sep 1, 2020 16:13 UTC | Evelo Biosciences, Inc. EVLO · Entity 108468 | PurchaseCommon Stock | 1,000 | $4.48 | $4,480.00 |
DisclosureSEC source: 0001694665-20-000081 · wf-form4_159899118710740.xml · nonDerivative · entry 5 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,000 Read SEC document |
| August 31, 2020 Filed Sep 1, 2020 16:13 UTC | Evelo Biosciences, Inc. EVLO · Entity 108468 | PurchaseCommon Stock | 1,000 | $4.47 | $4,470.00 |
DisclosureSEC source: 0001694665-20-000081 · wf-form4_159899118710740.xml · nonDerivative · entry 4 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Read SEC document |
| August 31, 2020 Filed Sep 1, 2020 16:13 UTC | Evelo Biosciences, Inc. EVLO · Entity 108468 | PurchaseCommon Stock | 2,752 | $4.46 | $12,273.92 |
DisclosureSEC source: 0001694665-20-000081 · wf-form4_159899118710740.xml · nonDerivative · entry 3 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,000 Read SEC document |
| August 28, 2020 Filed Sep 1, 2020 16:13 UTC | Evelo Biosciences, Inc. EVLO · Entity 108468 | PurchaseCommon Stock | 3,248 | $4.40 | $14,291.20 |
DisclosureSEC source: 0001694665-20-000081 · wf-form4_159899118710740.xml · nonDerivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,248 Read SEC document |
| August 28, 2020 Filed Sep 1, 2020 16:13 UTC | Evelo Biosciences, Inc. EVLO · Entity 108468 | PurchaseCommon Stock | 1,000 | $4.34 | $4,340.00 |
DisclosureSEC source: 0001694665-20-000081 · wf-form4_159899118710740.xml · nonDerivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Read SEC document |
| June 05, 2020 Filed Jun 9, 2020 01:33 UTC | Axcella Health Inc. AXLA · Entity 116059 | GrantStock Option (Right to Buy) · Derivative | 6,800 | $0.00 Strike: $9.00 | $0.00 |
DisclosureSEC source: 0001104659-20-071038 · a4.xml · derivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,800 Underlying: Common Stock · 6,800 shares Expires 2030-06-04 F1 · derivative.exercise_date: 1,133 options are immediately vested and exercisable, with the remainder vesting and becoming exercisable in 10 substantially equal monthly installments thereafter and becoming fully exercisable on April 5, 2021. Read SEC document |
| May 21, 2020 Filed May 26, 2020 19:24 UTC | Rubius Therapeutics, Inc. RUBY · Entity 116417 | GrantStock Option (Right to Buy) · Derivative | 115,771 | $0.00 Strike: $6.22 | $0.00 |
DisclosureSEC source: 0001179110-20-006601 · edgar.xml · derivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,771 Underlying: Common Stock · 115,771 shares Expires 2030-05-20 F1 · derivative.exercise_date: This option is fully vested at the time of grant. Read SEC document |
| May 20, 2020 Filed May 22, 2020 21:16 UTC | Axcella Health Inc. AXLA · Entity 116059 | GrantStock Option (Right to Buy) · Derivative | 65,000 | $0.00 Strike: $4.20 | $0.00 |
DisclosureSEC source: 0001104659-20-065468 · a4.xml · derivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,000 Underlying: Common Stock · 65,000 shares Expires 2030-05-19 F2 · derivative.exercise_date: 10,833 options are immediately vested and exercisable, with the remainder vesting and becoming exercisable in 10 substantially equal monthly installments thereafter and becoming fully exercisable on March 20, 2021. Read SEC document |
| May 20, 2020 Filed May 22, 2020 21:16 UTC | Axcella Health Inc. AXLA · Entity 116059 | GrantStock Option (Right to Buy) · Derivative | 35,000 | $0.00 Strike: $4.20 | $0.00 |
DisclosureSEC source: 0001104659-20-065468 · a4.xml · derivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2030-05-19 F1 · derivative.exercise_date: This option shall vest and become exercisable in 12 substantially equal monthly installments and become fully exercisable on the first anniversary following the date of grant. Read SEC document |
| May 18, 2020 Filed May 20, 2020 20:07 UTC | Axcella Health Inc. AXLA · Entity 116059 | PurchaseCommon Stock | 50,000 | $4.75 | $237,500.00 |
DisclosureSEC source: 0001104659-20-064239 · a4.xml · nonDerivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,103 Read SEC document |
| May 06, 2020 Filed May 8, 2020 21:56 UTC | INTERNATIONAL FLAVORS & FRAGRANCES INC IFF · Entity 3234 | GrantStock Equivalent Unit · Derivative | 0.818 | $131.31 | $107.41 |
DisclosureSEC source: 0001225208-20-007317 · doc4.xml · derivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,255.472 Underlying: Common Stock · 0.818 shares Expires not disclosed F3 · derivative.exercise_price: The Stock Equivalent Units ("Units") convert to Common Stock on a one-for-one basis. F4 · shares: Reflects a fractional share which the Reporting Person elected to defer to the Deferred Compensation Plan in lieu of taking a cash payment. F5 · derivative.exercise_date: The Stock Equivalent Units become payable upon the reporting person ceasing to serve as a member of the Company's Board of Directors. F5 · derivative.expiration_date: The Stock Equivalent Units become payable upon the reporting person ceasing to serve as a member of the Company's Board of Directors. Read SEC document |
| May 06, 2020 Filed May 8, 2020 21:56 UTC | INTERNATIONAL FLAVORS & FRAGRANCES INC IFF · Entity 3234 | GrantRestricted Stock Units · Derivative | 1,047 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-007317 · doc4.xml · derivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,047 Underlying: Common Stock · 1,047 shares Expires 2021-05-06 F1 · derivative.exercise_price: The Restricted Stock Units ("RSUs") convert to Common Stock on a one-for-one basis. F2 · shares: Represent RSUs granted under the Non-Employee Director Compensation Program. Read SEC document |
| May 01, 2020 Filed May 5, 2020 21:54 UTC | INTERNATIONAL FLAVORS & FRAGRANCES INC IFF · Entity 3234 | GrantStock Equivalent Unit · Derivative | 997 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-20-007149 · doc4.xml · derivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,254.654 Underlying: Common Stock · 997 shares Expires not disclosed F3 · derivative.exercise_price: The Stock Equivalent Units ("Units") convert to Common Stock on a one-for-one basis. F2 · price: Upon the vesting of RSUs on May 1, 2020, the reporting person deferred the receipt of 997 shares of Common Stock and received instead 997 Stock Equivalent Units pursuant to IFF's deferred compensation plan. F4 · derivative.exercise_date: The Units are payable in Common Stock upon earlier of termination of employment or January 1 following retirement. F4 · derivative.expiration_date: The Units are payable in Common Stock upon earlier of termination of employment or January 1 following retirement. F5 · balance_after: Includes Units acquired during the period upon reinvestment of dividends under the Company's deferred compensation plan during 2020. The transactions were exempt pursuant to Rule 16a-11. 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.