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 |
|---|---|---|---|---|---|---|
| May 01, 2020 Filed May 5, 2020 21:54 UTC | INTERNATIONAL FLAVORS & FRAGRANCES INC IFF · Entity 3234 | Disposition to issuerRestricted Stock Units · Derivative | 997 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-20-007149 · doc4.xml · derivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 997 shares Expires 2020-05-01 F1 · derivative.exercise_price: The Restricted Stock Units ("RSUs") 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. Read SEC document |
| March 17, 2020 Filed Mar 19, 2020 18:34 UTC | Rubius Therapeutics, Inc. RUBY · Entity 116417 | PurchaseCommon Stock | 5,000 | $3.76 | $18,800.00 |
DisclosureSEC source: 0001104659-20-036113 · a4.xml · nonDerivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,815,453 Read SEC document |
| March 13, 2020 Filed Mar 17, 2020 17:59 UTC | Rubius Therapeutics, Inc. RUBY · Entity 116417 | PurchaseCommon Stock | 5,000 | $4.00 | $20,000.00 |
DisclosureSEC source: 0001104659-20-034857 · a4.xml · nonDerivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,810,453 Read SEC document |
| March 13, 2020 Filed Mar 17, 2020 17:59 UTC | Rubius Therapeutics, Inc. RUBY · Entity 116417 | PurchaseCommon Stock | 5,000 | $3.82 | $19,100.00 |
DisclosureSEC source: 0001104659-20-034857 · a4.xml · nonDerivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,805,453 Read SEC document |
| February 28, 2020 Filed Mar 3, 2020 00:04 UTC | Axcella Health Inc. AXLA · Entity 116059 | PurchaseCommon Stock | 2,005 | $3.75 | $7,518.75 |
DisclosureSEC source: 0001104659-20-028089 · a4.xml · nonDerivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,103 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.66 to $3.77, inclusive. The reporting person undertakes to provide to Axcella Health Inc., any security holder of Axcella Health Inc., or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. Read SEC document |
| February 27, 2020 Filed Mar 3, 2020 00:04 UTC | Axcella Health Inc. AXLA · Entity 116059 | PurchaseCommon Stock | 12,800 | $3.65 | $46,720.00 |
DisclosureSEC source: 0001104659-20-028089 · a4.xml · nonDerivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,098 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.56 to $3.74, inclusive. The reporting person undertakes to provide to Axcella Health Inc., any security holder of Axcella Health Inc., or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. Read SEC document |
| November 27, 2019 Filed Dec 3, 2019 00:31 UTC | Axcella Health Inc. AXLA · Entity 116059 | PurchaseCommon Stock | 1,005 | $3.91 | $3,929.55 |
DisclosureSEC source: 0001104659-19-069117 · a4.xml · nonDerivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,298 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.60 to $3.98, inclusive. The reporting person undertakes to provide to Axcella Health Inc., any security holder of Axcella Health Inc., or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. Read SEC document |
| November 27, 2019 Filed Dec 3, 2019 16:20 UTC | Axcella Health Inc. AXLA · Entity 116059 | PurchaseCommon Stock | 1,005 | $3.91 | $3,929.55 |
DisclosureSEC source: 0001633070-19-000027 · wf-form4_157538999537522.xml · nonDerivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,298 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.60 to $3.98, inclusive. The reporting person undertakes to provide to Axcella Health Inc., any security holder of Axcella Health Inc., or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. Read SEC document |
| November 26, 2019 Filed Dec 3, 2019 00:31 UTC | Axcella Health Inc. AXLA · Entity 116059 | PurchaseCommon Stock | 14,000 | $3.55 | $49,700.00 |
DisclosureSEC source: 0001104659-19-069117 · a4.xml · nonDerivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,293 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.42 to $3.75, inclusive. The reporting person undertakes to provide to Axcella Health Inc., any security holder of Axcella Health Inc., or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. Read SEC document |
| November 26, 2019 Filed Dec 3, 2019 16:20 UTC | Axcella Health Inc. AXLA · Entity 116059 | PurchaseCommon Stock | 14,000 | $3.55 | $49,700.00 |
DisclosureSEC source: 0001633070-19-000027 · wf-form4_157538999537522.xml · nonDerivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,293 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.42 to $3.75, inclusive. The reporting person undertakes to provide to Axcella Health Inc., any security holder of Axcella Health Inc., or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. Read SEC document |
| November 01, 2019 Filed Nov 5, 2019 21:33 UTC | INTERNATIONAL FLAVORS & FRAGRANCES INC IFF · Entity 3234 | GrantStock Equivalent Unit · Derivative | 462.05 | $121.74 | $56,249.97 |
DisclosureSEC source: 0001225208-19-014141 · doc4.xml · derivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,203.391 Underlying: Common Stock · 462.05 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 retainer 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 2019. The transactions were exempt pursuant to Rule 16a-11. Read SEC document |
| September 14, 2019 Filed Sep 17, 2019 15:21 UTC | Evelo Biosciences, Inc. EVLO · Entity 108468 | GrantStock Option (Right to Buy) · Derivative | 75,000 | $0.00 Strike: $7.93 | $0.00 |
DisclosureSEC source: 0001694665-19-000071 · wf-form4_156874807087812.xml · derivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2029-09-13 F2 · derivative.exercise_date: Such option to vest and become exercisable in 36 equal monthly installments occurring upon Mr. Epstein's completion of each successive full month of service as a consultant to the Company following the date of grant, provided that any share which would be fractionally vested shall be accumulated and shall vest on the first vesting date upon which the whole share has accumulated, and provided further that such option will vest in full upon a Change in Control that occurs prior to or at the time of Mr. Epstein's termination of service as a consultant to the Company. Read SEC document |
| September 14, 2019 Filed Sep 17, 2019 15:21 UTC | Evelo Biosciences, Inc. EVLO · Entity 108468 | GrantStock Option (Right to Buy) · Derivative | 75,000 | $0.00 Strike: $7.93 | $0.00 |
DisclosureSEC source: 0001694665-19-000071 · wf-form4_156874807087812.xml · derivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2029-09-13 F1 · derivative.exercise_date: Such option to vest and become exercisable in 36 equal monthly installments occurring upon Mr. Epstein's completion of each successive full month of service as the Chairman of the Board of Directors following the date of grant, provided that any share which would be fractionally vested shall be accumulated and shall vest on the first vesting date upon which the whole share has accumulated, and provided further that such option will vest in full upon a Change in Control (as defined in the Plan) that occurs prior to or at the time of Mr. Epstein's termination of service as the Chairman of the Board of Directors. Read SEC document |
| August 21, 2019 Filed Aug 23, 2019 20:33 UTC | Axcella Health Inc. AXLA · Entity 116059 | GrantStock Option (Right to Buy) · Derivative | 65,000 | $0.00 Strike: $8.11 | $0.00 |
DisclosureSEC source: 0001104659-19-047154 · 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 2029-08-21 F3 · derivative.exercise_date: This option shall vest 50% on the grant date and in equal 1/24th monthly installments thereafter and become fully exercisable on the one-year anniversary of the grant date. F2 · derivative.expiration_date: This option shall be exercisable until the earlier of one year from termination of service or the expiration date. Read SEC document |
| August 21, 2019 Filed Aug 23, 2019 20:33 UTC | Axcella Health Inc. AXLA · Entity 116059 | GrantStock Option (Right to Buy) · Derivative | 35,000 | $0.00 Strike: $8.11 | $0.00 |
DisclosureSEC source: 0001104659-19-047154 · 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 2029-08-21 F1 · derivative.exercise_date: This option shall vest monthly in equal 1/12th installments and become fully exercisable on the one-year anniversary of the grant date. F2 · derivative.expiration_date: This option shall be exercisable until the earlier of one year from termination of service or the expiration date. Read SEC document |
| August 02, 2019 Filed Aug 5, 2019 20:55 UTC | Axcella Health Inc. AXLA · Entity 116059 | PurchaseCommon Stock | 2,849 | $7.04 | $20,056.96 |
DisclosureSEC source: 0001104659-19-043970 · a4.xml · nonDerivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,293 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.35 to $7.67, inclusive. The reporting person undertakes to provide to Axcella Health Inc., any security holder of Axcella Health Inc., or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. Read SEC document |
| August 01, 2019 Filed Aug 5, 2019 20:55 UTC | Axcella Health Inc. AXLA · Entity 116059 | PurchaseCommon Stock | 4,092 | $6.98 | $28,562.16 |
DisclosureSEC source: 0001104659-19-043970 · a4.xml · nonDerivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,444 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.51 to $7.24, inclusive. The reporting person undertakes to provide to Axcella Health Inc., any security holder of Axcella Health Inc., or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. Read SEC document |
| July 17, 2019 Filed Jul 19, 2019 01:54 UTC | Axcella Health Inc. AXLA · Entity 116059 | PurchaseCommon Stock | 1,000 | $7.55 | $7,550.00 |
DisclosureSEC source: 0001104659-19-041034 · a4.xml · nonDerivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,352 Read SEC document |
| July 10, 2019 Filed Jul 11, 2019 01:56 UTC | Axcella Health Inc. AXLA · Entity 116059 | PurchaseCommon Stock | 1,322 | $8.07 | $10,668.54 |
DisclosureSEC source: 0001104659-19-039864 · a4.xml · nonDerivative · entry 3 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,352 F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.05 to $8.32, inclusive. The reporting person undertakes to provide to Axcella Health Inc., any security holder of Axcella Health Inc., or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. Read SEC document |
| July 09, 2019 Filed Jul 11, 2019 01:56 UTC | Axcella Health Inc. AXLA · Entity 116059 | PurchaseCommon Stock | 4,200 | $8.24 | $34,608.00 |
DisclosureSEC source: 0001104659-19-039864 · a4.xml · nonDerivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,030 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.15 to $8.52, inclusive. The reporting person undertakes to provide to Axcella Health Inc., any security holder of Axcella Health Inc., or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. Read SEC document |
| July 08, 2019 Filed Jul 11, 2019 01:56 UTC | Axcella Health Inc. AXLA · Entity 116059 | PurchaseCommon Stock | 274 | $9.00 | $2,466.00 |
DisclosureSEC source: 0001104659-19-039864 · a4.xml · nonDerivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,830 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.77 to $9.09, inclusive. The reporting person undertakes to provide to Axcella Health Inc., any security holder of Axcella Health Inc., or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. F2 · balance_after: The amount of securities beneficially owned following reported transaction(s) accurately reports the beneficial ownership total following the purchase made on 7/8/2019. The total amounts reported on on the Form 4 filed on 7/3/2019 were incorrect, and should have read 21,000, 24,500 and 24,556, respectively as opposed to 15,500, 19,000 and 19,056. Read SEC document |
| July 03, 2019 Filed Jul 3, 2019 23:53 UTC | Axcella Health Inc. AXLA · Entity 116059 | PurchaseCommon Stock | 56 | $8.99 | $503.44 |
DisclosureSEC source: 0001104659-19-039346 · a4.xml · nonDerivative · entry 3 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,056 Read SEC document |
| July 02, 2019 Filed Jul 3, 2019 23:53 UTC | Axcella Health Inc. AXLA · Entity 116059 | PurchaseCommon Stock | 3,500 | $8.77 | $30,677.50 |
DisclosureSEC source: 0001104659-19-039346 · a4.xml · nonDerivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,000 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.66 to $8.95, inclusive. The reporting person undertakes to provide to Axcella Health Inc., any security holder of Axcella Health Inc., or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 23:53 UTC | Axcella Health Inc. AXLA · Entity 116059 | PurchaseCommon Stock | 1,000 | $8.74 | $8,735.00 |
DisclosureSEC source: 0001104659-19-039346 · a4.xml · nonDerivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,500 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.69 to $8.78, inclusive. The reporting person undertakes to provide to Axcella Health Inc., any security holder of Axcella Health Inc., or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. Read SEC document |
| June 28, 2019 Filed Jul 1, 2019 12:38 UTC | Axcella Health Inc. AXLA · Entity 116059 | PurchaseCommon Stock | 5,400 | $10.04 | $54,216.00 |
DisclosureSEC source: 0001104659-19-038420 · a4.xml · nonDerivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.36 to $11.10, inclusive. The reporting person undertakes to provide to Axcella Health Inc., any security holder of Axcella Health Inc., or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. Read SEC document |
| June 27, 2019 Filed Jul 1, 2019 12:38 UTC | Axcella Health Inc. AXLA · Entity 116059 | PurchaseCommon Stock | 100 | $9.15 | $915.00 |
DisclosureSEC source: 0001104659-19-038420 · a4.xml · nonDerivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,600 Read SEC document |
| June 26, 2019 Filed Jun 27, 2019 20:03 UTC | Axcella Health Inc. AXLA · Entity 116059 | PurchaseCommon Stock | 14,500 | $9.57 | $138,765.00 |
DisclosureSEC source: 0001104659-19-037921 · a4.xml · nonDerivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,500 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.25 to $10.00, inclusive. The reporting person undertakes to provide to Axcella Health Inc., any security holder of Axcella Health Inc., or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote. Read SEC document |
| June 12, 2019 Filed Jun 13, 2019 08:36 UTC | Evelo Biosciences, Inc. EVLO · Entity 108468 | GrantStock Option (Right to Buy) · Derivative | 15,690 | $0.00 Strike: $7.07 | $0.00 |
DisclosureSEC source: 0001694665-19-000045 · wf-form4_156042937870309.xml · derivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,690 Underlying: Common Stock · 15,690 shares Expires 2029-06-12 F1 · derivative.exercise_date: The option vests on the earlier of June 12, 2020 or the day immediately prior to the date of the next annual meeting of the Issuer's stockholders occurring after the date of grant, in either case subject to the Reporting Person continuing in service on the Issuer's board of directors as a non-employee director through each such vesting date. Read SEC document |
| May 23, 2019 Filed May 28, 2019 19:58 UTC | Rubius Therapeutics, Inc. RUBY · Entity 116417 | GrantStock Option (Right to Buy) · Derivative | 39,094 | $0.00 Strike: $16.27 | $0.00 |
DisclosureSEC source: 0001104659-19-032119 · a4.xml · derivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,094 Underlying: Common Stock · 39,094 shares Expires 2029-05-22 F1 · derivative.exercise_date: This option is fully vested at the time of grant. Read SEC document |
| May 22, 2019 Filed May 25, 2019 00:25 UTC | Axcella Health Inc. AXLA · Entity 116059 | GrantStock Option (Right to Buy) · Derivative | 11,000 | $0.00 Strike: $14.28 | $0.00 |
DisclosureSEC source: 0001104659-19-031847 · a4.xml · derivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,000 Underlying: Common Stock · 11,000 shares Expires 2029-05-21 F1 · derivative.exercise_date: This option shall vest and become fully exercisable on the earlier of the first anniversary following the date of grant or the next scheduled Annual Meeting. Read SEC document |
| May 02, 2019 Filed May 3, 2019 23:56 UTC | INTERNATIONAL FLAVORS & FRAGRANCES INC IFF · Entity 3234 | GrantStock Equivalent Unit · Derivative | 874 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-19-007754 · doc4.xml · derivative · entry 3 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,699.322 Underlying: Common Stock · 874 shares Expires not disclosed F4 · derivative.exercise_price: The Stock Equivalent Units ("Units") convert to Common Stock on a one-for-one basis. F3 · price: Upon the vesting of RSUs on May 2, 2019, the reporting person deferred the receipt of 874 shares of Common Stock and received instead 874 Stock Equivalent Units pursuant to IFF's deferred compensation plan. 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. F6 · balance_after: Includes Units acquired during the period upon reinvestment of dividends under the Company's deferred compensation plan during 2019. The transactions were exempt pursuant to Rule 16a-11. Read SEC document |
| May 02, 2019 Filed May 3, 2019 23:56 UTC | INTERNATIONAL FLAVORS & FRAGRANCES INC IFF · Entity 3234 | Disposition to issuerRestricted Stock Units · Derivative | 874 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001225208-19-007754 · doc4.xml · derivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 874 shares Expires 2019-05-02 F1 · derivative.exercise_price: The Restricted Stock Units ("RSUs") convert to Common Stock on a one-for-one basis. F3 · price: Upon the vesting of RSUs on May 2, 2019, the reporting person deferred the receipt of 874 shares of Common Stock and received instead 874 Stock Equivalent Units pursuant to IFF's deferred compensation plan. Read SEC document |
| May 01, 2019 Filed May 3, 2019 23:56 UTC | INTERNATIONAL FLAVORS & FRAGRANCES INC IFF · Entity 3234 | GrantRestricted Stock Units · Derivative | 997 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-007754 · doc4.xml · derivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 997 Underlying: Common Stock · 997 shares Expires 2020-05-01 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 |
| December 31, 2018 Filed Feb 14, 2019 23:57 UTC | INTERNATIONAL FLAVORS & FRAGRANCES INC IFF · Entity 3234 | GrantStock Equivalent Unit · Derivative | 47.99 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-002593 · doc5.xml · derivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,794.99 Underlying: Common Stock · 47.99 shares Expires not disclosed F1 · derivative.exercise_price: The Stock Units ("Units") convert to Common Stock on a one-for-one basis. F2 · shares: Reflects the aggregate of fractional Units acquired during the period upon reinvestment of dividends under the Company's deferred compensation plan during 2018. The transactions were exempt pursuant to Rule 16a-11. F3 · derivative.exercise_date: The Units are payable in Common Stock upon retirement or termination of directorship. F3 · derivative.expiration_date: The Units are payable in Common Stock upon retirement or termination of directorship. Read SEC document |
| November 28, 2018 Filed Feb 14, 2019 17:02 UTC | Rubius Therapeutics, Inc. RUBY · Entity 116417 | GiftCommon Stock | 180,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-008822 · a5.xml · nonDerivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Three Opinions Foundation Inc. Disclosed balance after: 180,000 F1 · kind: This transaction involved a gift of securities by the reporting person to Three Opinions Foundation Inc. (the "Foundation"), of which the reporting person's wife is the President and a Director. The reporting person disclaims beneficial ownership of the shares held by the Foundation, and this report should not be deemed an admission that the reporting person is the beneficial owner of the Foundation's shares for purposes of Section 16 or for any other purpose. Read SEC document |
| November 28, 2018 Filed Feb 14, 2019 17:02 UTC | Rubius Therapeutics, Inc. RUBY · Entity 116417 | GiftCommon Stock | 180,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-008822 · a5.xml · nonDerivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,800,453 F1 · kind: This transaction involved a gift of securities by the reporting person to Three Opinions Foundation Inc. (the "Foundation"), of which the reporting person's wife is the President and a Director. The reporting person disclaims beneficial ownership of the shares held by the Foundation, and this report should not be deemed an admission that the reporting person is the beneficial owner of the Foundation's shares for purposes of Section 16 or for any other purpose. Read SEC document |
| July 17, 2018 Filed Jul 18, 2018 16:33 UTC | Rubius Therapeutics, Inc. RUBY · Entity 116417 | GrantStock Option (Right to Buy) · Derivative | 1,902,977 | $0.00 Strike: $23.00 | $0.00 |
DisclosureSEC source: 0001104659-18-045773 · a4.xml · derivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,902,977 Underlying: Common Stock · 1,902,977 shares Expires 2028-07-16 F1 · derivative.exercise_date: This option shall vest and become exercisable in full on the third anniversary of the date of grant. Read SEC document |
| May 03, 2018 Filed May 3, 2018 20:41 UTC | INTERNATIONAL FLAVORS & FRAGRANCES INC IFF · Entity 3234 | GrantStock Equivalent Unit · Derivative | 882 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-008686 · doc4.xml · derivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,747 Underlying: Common Stock · 882 shares Expires not disclosed F2 · derivative.exercise_price: The Stock Units ("Units") convert to Common Stock on a one-for-one basis. F3 · derivative.exercise_date: The reporting person is receiving 882 Units resulting from the deferral of 882 RSUs granted under the Non-Employee Director Compensation Program which vested on May 3, 2018. The Units are being deferred until retirement or other termination of directorship. The Units are payable in Common Stock at the end of the deferral. F3 · derivative.expiration_date: The reporting person is receiving 882 Units resulting from the deferral of 882 RSUs granted under the Non-Employee Director Compensation Program which vested on May 3, 2018. The Units are being deferred until retirement or other termination of directorship. The Units are payable in Common Stock at the end of the deferral. Read SEC document |
| May 03, 2018 Filed May 3, 2018 20:41 UTC | INTERNATIONAL FLAVORS & FRAGRANCES INC IFF · Entity 3234 | Disposition to issuerRestricted Stock Units · Derivative | 882 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-008686 · doc4.xml · derivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 882 shares Expires 2018-05-03 F1 · derivative.exercise_price: The Restricted Stock Units convert to Common Stock on a one-for-one basis. Read SEC document |
| May 02, 2018 Filed May 3, 2018 16:51 UTC | INTERNATIONAL FLAVORS & FRAGRANCES INC IFF · Entity 3234 | GrantRestricted Stock Units · Derivative | 874 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-008579 · doc4.xml · derivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 874 Underlying: Common Stock · 874 shares Expires 2019-05-02 F1 · derivative.exercise_price: Restricted Stock Units ("RSUs") granted under the Non-Employee Director Compensation Program. The RSUs convert to Common Stock on a one-for-one basis. F1 · derivative.exercise_date: Restricted Stock Units ("RSUs") granted under the Non-Employee Director Compensation Program. The RSUs convert to Common Stock on a one-for-one basis. F1 · derivative.expiration_date: Restricted Stock Units ("RSUs") granted under the Non-Employee Director Compensation Program. The RSUs convert to Common Stock on a one-for-one basis. Read SEC document |
| December 31, 2017 Filed Feb 2, 2018 20:47 UTC | INTERNATIONAL FLAVORS & FRAGRANCES INC IFF · Entity 3234 | GrantStock Equivalent Unit · Derivative | 25 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-002049 · doc5.xml · derivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,865 Underlying: Common Stock · 25 shares Expires not disclosed F1 · derivative.exercise_price: The Stock Units ("Units") convert to Common Stock on a one-for-one basis. F2 · shares: Units acquired upon reinvestment of dividends accrued on Units under the Company's deferred compensation plan during 2017. The acquisition of Units with reinvested dividends is exempt from line item reporting under SEC Rule 16a-11. F3 · derivative.exercise_date: The Units are payable in Common Stock upon retirement or other termination of directorship. F3 · derivative.expiration_date: The Units are payable in Common Stock upon retirement or other termination of directorship. Read SEC document |
| May 03, 2017 Filed May 5, 2017 15:24 UTC | INTERNATIONAL FLAVORS & FRAGRANCES INC IFF · Entity 3234 | GrantRestricted Stock Units · Derivative | 882 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-009211 · doc4.xml · derivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 882 Underlying: Common Stock · 882 shares Expires 2018-05-03 F1 · derivative.exercise_price: Restricted Stock Units ("RSUs") granted under the Non-Employee Director Compensation Program. The RSUs convert to Common Stock on a one-for-one basis. F1 · derivative.exercise_date: Restricted Stock Units ("RSUs") granted under the Non-Employee Director Compensation Program. The RSUs convert to Common Stock on a one-for-one basis. F1 · derivative.expiration_date: Restricted Stock Units ("RSUs") granted under the Non-Employee Director Compensation Program. The RSUs convert to Common Stock on a one-for-one basis. Read SEC document |
| May 02, 2017 Filed May 3, 2017 18:07 UTC | INTERNATIONAL FLAVORS & FRAGRANCES INC IFF · Entity 3234 | GrantStock Equivalent Unit · Derivative | 938 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-008918 · doc4.xml · derivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,840 Underlying: Common Stock · 938 shares Expires not disclosed F2 · derivative.exercise_price: The Stock Units ("Units") convert to Common Stock on a one-for-one basis. F3 · derivative.exercise_date: The reporting person is receiving 938 Units resulting from the deferral of 938 RSUs granted under the Non-Employee Director Compensation Program which vested on May 2, 2107. The Units are being deferred until retirement or other termination of directorship. The Units are payable in Common Stock at the end of the deferral. F3 · derivative.expiration_date: The reporting person is receiving 938 Units resulting from the deferral of 938 RSUs granted under the Non-Employee Director Compensation Program which vested on May 2, 2107. The Units are being deferred until retirement or other termination of directorship. The Units are payable in Common Stock at the end of the deferral. Read SEC document |
| May 02, 2017 Filed May 3, 2017 18:07 UTC | INTERNATIONAL FLAVORS & FRAGRANCES INC IFF · Entity 3234 | Disposition to issuerRestricted Stock Units · Derivative | 938 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-008918 · doc4.xml · derivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 938 shares Expires 2017-05-02 F1 · derivative.exercise_price: The Restricted Stock Units convert to Common Stock on a one-for-one basis. Read SEC document |
| February 01, 2017 Filed Feb 3, 2017 14:02 UTC | INTERNATIONAL FLAVORS & FRAGRANCES INC IFF · Entity 3234 | GrantStock Equivalent Unit · Derivative | 319 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-002294 · doc4.xml · derivative · entry 2 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 899 Underlying: Common Stock · 319 shares Expires not disclosed F2 · derivative.exercise_price: The Stock Units ("Units") convert to Common Stock on a one-for-one basis. F3 · derivative.exercise_date: The reporting person is receiving 319 Units resulting from the deferral of 319 RSUs granted under the Non-Employee Director Compensation Program which vested on February 1, 2017. The Units are being deferred until retirement or other termination of directorship. The Units are payable in Common Stock at the end of the deferral. F3 · derivative.expiration_date: The reporting person is receiving 319 Units resulting from the deferral of 319 RSUs granted under the Non-Employee Director Compensation Program which vested on February 1, 2017. The Units are being deferred until retirement or other termination of directorship. The Units are payable in Common Stock at the end of the deferral. Read SEC document |
| February 01, 2017 Filed Feb 3, 2017 14:02 UTC | INTERNATIONAL FLAVORS & FRAGRANCES INC IFF · Entity 3234 | Disposition to issuerRestricted Stock Units · Derivative | 319 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-002294 · doc4.xml · derivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 319 shares Expires 2017-02-01 F1 · derivative.exercise_price: The Restricted Stock Units convert to Common Stock on a one-for-one basis. Read SEC document |
| December 31, 2016 Filed Feb 7, 2017 21:49 UTC | INTERNATIONAL FLAVORS & FRAGRANCES INC IFF · Entity 3234 | GrantStock Equivalent Unit · Derivative | 3 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-002613 · doc5.xml · derivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 583 Underlying: Common Stock · 3 shares Expires not disclosed F1 · derivative.exercise_price: The Stock Units ("Units") convert to Common Stock on a one-for-one basis. F2 · shares: Units acquired upon reinvestment of dividends accrued on Units under the Company's deferred compensation plan during 2016. The acquisition of Units with reinvested dividends is exempt from line item reporting under SEC Rule 16a-11. F3 · derivative.exercise_date: The Units are payable in Common Stock upon retirement or other termination of directorship. F3 · derivative.expiration_date: The Units are payable in Common Stock upon retirement or other termination of directorship. Read SEC document |
| November 01, 2016 Filed Nov 3, 2016 20:03 UTC | INTERNATIONAL FLAVORS & FRAGRANCES INC IFF · Entity 3234 | GrantStock Equivalent Unit · Derivative | 420 | $133.84 | $56,212.80 |
DisclosureSEC source: 0001225208-16-041087 · doc4.xml · derivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 420 Underlying: Common Stock · 420 shares Expires not disclosed F1 · derivative.exercise_price: The Stock Units ("Units") convert to Common Stock on a one-for-one basis. F2 · derivative.exercise_date: Units under the Company's deferred compensation plan resulting from deferral of retainer fees. The Units are payable in Common Stock upon retirement or other termination of directorship. F2 · derivative.expiration_date: Units under the Company's deferred compensation plan resulting from deferral of retainer fees. The Units are payable in Common Stock upon retirement or other termination of directorship. Read SEC document |
| February 01, 2016 Filed Dec 6, 2016 18:46 UTC | INTERNATIONAL FLAVORS & FRAGRANCES INC IFF · Entity 3234 | GrantStock Equivalent Unit · Derivative | 160 | $118.46 | $18,953.60 |
DisclosureSEC source: 0001225208-16-042761 · doc4.xml · derivative · entry 1 Epstein David R · CIK 0001445826 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160 Underlying: Common Stock · 160 shares Expires not disclosed F1 · derivative.exercise_price: The Stock Units ("Units") convert to Common Stock on a one-for-one basis. F2 · derivative.exercise_date: Units under the Company's deferred compensation plan resulting from deferral of retainer fees. The Units are payable in Common Stock upon retirement or other termination of directorship. F2 · derivative.expiration_date: Units under the Company's deferred compensation plan resulting from deferral of retainer fees. The Units are payable in Common Stock upon retirement or other termination of directorship. 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.