person · Reporting owner
BARRETT DAVID JONATHAN
Disclosed activity across 2 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ASSEMBLY BIOSCIENCES, INC.ASMB · Entity 5216 | See Remarks | March 29, 2017 | March 31, 2017 |
| CELADON GROUP INCCGIP · Entity 155493 | 10% owner | April 04, 2018 | August 05, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ASSEMBLY BIOSCIENCES, INC.
Report date March 29, 2017 · Filed March 31, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $25.34 · Expires 2027-03-29 | Direct | 25,000 |
Reported balance
After 2017-03-29 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-03-29 · Grant · Acquired 25,000 · Balance 25,000 F1: The options vest over two years as follows: 50% shall vest on the first anniversary of the date of grant, March 29, 2018; and the remaining 50% shall vest in 12 equal monthly installments, with the options becoming fully vested on March 29, 2019. |
Filing footnotes · ownership attribution and instrument terms
F1: The options vest over two years as follows: 50% shall vest on the first anniversary of the date of grant, March 29, 2018; and the remaining 50% shall vest in 12 equal monthly installments, with the options becoming fully vested on March 29, 2019.
CELADON GROUP INC
Report date April 04, 2018 · Filed August 05, 2019
Jointly reported with LUMINUS MANAGEMENT LLC, Luminus Energy Partners Master Fund, Ltd.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy: Luminus Energy Partners Master Fund, Ltd. | 4,576,613 |
Reported balance
Holding disclosure · report date 2018-04-04 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 4,576,613 F1: Shares reported herein are held by Luminus Energy Partners Master Fund, Ltd. for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares reported herein are held by Luminus Energy Partners Master Fund, Ltd. for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.
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 |
|---|---|---|---|---|---|---|
| July 31, 2019 Filed Aug 5, 2019 17:01 UTC | CELADON GROUP INC CGIP · Entity 155493 | PurchaseWarrants · Derivative | 16,000,000 | Not disclosed Strike: $0.01 | Not disclosed |
DisclosureSEC source: 0001144204-19-037682 · tv526804_4.xml · derivative · entry 1 LUMINUS MANAGEMENT LLC · CIK 0001279151 · 10% owner Luminus Energy Partners Master Fund, Ltd. · CIK 0001405850 · 10% owner BARRETT DAVID JONATHAN · CIK 0001359072 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Luminus Energy Partners Master Fund, Ltd. Disclosed balance after: 16,000,000 Underlying: Common Stock · 16,000,000 shares Expires 2025-07-31 F2 · price: The Warrant was acquired by Luminus Energy Partners Master Fund, Ltd. ("LEPMF") pursuant to a Warrant Purchase Agreement, dated July 31, 2019, between LEPMF and the Issuer (the "Warrant Purchase Agreement"). The parties entered into the Warrant Purchase Agreement in connection with certain loan transactions among the Issuer, LEPMF and certain other lenders under the Second Amended and Restated Credit Agreement, dated July 31, 2019 (the "Credit Agreement"). Pursuant to the Warrant Purchase Agreement, a portion of the amount loaned to the Issuer by LEPMF pursuant to the Credit Agreement will be allocated to the purchase price of the Warrant on or before January 31, 2020. F1 · ownership.direct: Shares reported herein are held by Luminus Energy Partners Master Fund, Ltd. for which Luminus Management, LLC serves as the investment manager. Jonathan Barrett is the ultimate beneficial owner of Luminus Management, LLC. Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein. Read SEC document |
| March 29, 2017 Filed Mar 31, 2017 20:16 UTC | ASSEMBLY BIOSCIENCES, INC. ASMB · Entity 5216 | GrantStock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $25.34 | $0.00 |
DisclosureSEC source: 0001144204-17-018209 · v463069_4.xml · derivative · entry 1 BARRETT DAVID JONATHAN · CIK 0001359072 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2027-03-29 F1 · derivative.exercise_date: The options vest over two years as follows: 50% shall vest on the first anniversary of the date of grant, March 29, 2018; and the remaining 50% shall vest in 12 equal monthly installments, with the options becoming fully vested on March 29, 2019. 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.