Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Adverum Biotechnologies, Inc.ADVM · Entity 71889 | Director | July 31, 2019 | August 02, 2019 |
| ROCKET PHARMACEUTICALS, INC.ITEK · Entity 5627 | Director | June 20, 2017 | June 21, 2017 |
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.
Adverum Biotechnologies, Inc.
Report date July 31, 2019 · Filed August 02, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.41 · Expires 2029-07-30 | Direct | 45,000 |
Reported balance
After 2019-07-31 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-07-31 · Grant · Acquired 45,000 · Balance 45,000 F1: The shares subject to the option will vest on the earlier of (a) the 2020 annual meeting of stockholders and (b) July 31, 2020. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to the option will vest on the earlier of (a) the 2020 annual meeting of stockholders and (b) July 31, 2020.
ROCKET PHARMACEUTICALS, INC.
Report date June 20, 2017 · Filed June 21, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.80 · Expires 2027-06-19 | Direct | 45,000 |
Reported balance
After 2017-06-20 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-06-20 · Grant · Acquired 45,000 · Balance 45,000 F1: This stock option award was issued pursuant to Inotek Pharmaceuticals Corporation's 2014 Stock Option and Incentive Plan. The option shall vest in equal quarterly installments at the end of each quarter following June 20, 2017, subject to continued service through such dates. |
Filing footnotes · ownership attribution and instrument terms
F1: This stock option award was issued pursuant to Inotek Pharmaceuticals Corporation's 2014 Stock Option and Incentive Plan. The option shall vest in equal quarterly installments at the end of each quarter following June 20, 2017, subject to continued service through such dates.
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 2, 2019 16:26 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantStock Option (Right to Buy) · Derivative | 45,000 | $0.00 Strike: $13.41 | $0.00 |
DisclosureSEC source: 0001209191-19-044258 · doc4.xml · derivative · entry 1 Spivey Richard N. · CIK 0001648385 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 45,000 shares Expires 2029-07-30 F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of (a) the 2020 annual meeting of stockholders and (b) July 31, 2020. Read SEC document |
| May 31, 2018 Filed Jun 15, 2018 16:30 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantStock Option (Right to Buy) · Derivative | 35,000 | $0.00 Strike: $6.25 | $0.00 |
DisclosureSEC source: 0001209191-18-038066 · doc4.xml · derivative · entry 1 Spivey Richard N. · CIK 0001648385 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2028-05-30 F1 · derivative.exercise_date: The shares subject to the option will vest on the one-year anniversary of May 31, 2018. Read SEC document |
| June 20, 2017 Filed Jun 21, 2017 20:05 UTC | ROCKET PHARMACEUTICALS, INC. ITEK · Entity 5627 | GrantStock Options (Right to Buy) · Derivative | 45,000 | $0.00 Strike: $1.80 | $0.00 |
DisclosureSEC source: 0000899243-17-016833 · doc4.xml · derivative · entry 1 Spivey Richard N. · CIK 0001648385 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,000 Underlying: Common Stock · 45,000 shares Expires 2027-06-19 F1 · derivative.exercise_date: This stock option award was issued pursuant to Inotek Pharmaceuticals Corporation's 2014 Stock Option and Incentive Plan. The option shall vest in equal quarterly installments at the end of each quarter following June 20, 2017, subject to continued service through such dates. Read SEC document |
| June 12, 2017 Filed Jun 14, 2017 19:12 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantStock Option (Right to Buy) · Derivative | 33,602 | $0.00 Strike: $2.75 | $0.00 |
DisclosureSEC source: 0001209191-17-039968 · doc4.xml · derivative · entry 2 Spivey Richard N. · CIK 0001648385 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,602 Underlying: Common Stock · 33,602 shares Expires 2027-06-11 Read SEC document |
| June 12, 2017 Filed Jun 14, 2017 19:12 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantCommon Stock | 22,727 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-039968 · doc4.xml · nonDerivative · entry 1 Spivey Richard N. · CIK 0001648385 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,804 F1 · shares: Restricted Stock Units ("RSUs"). The Reporting Person is entitled to receive one (1) share of Common Stock of the Issuer for each one (1) RSU upon the vesting thereof. Such RSUs vest with respect to 100% of the shares subject thereto on June 12, 2018. Read SEC document |
| April 19, 2017 Filed Apr 21, 2017 16:34 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantStock Option (Right to Buy) · Derivative | 69,061 | $0.00 Strike: $2.60 | $0.00 |
DisclosureSEC source: 0001209191-17-027841 · doc4.xml · derivative · entry 2 Spivey Richard N. · CIK 0001648385 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,061 Underlying: Common Stock · 69,061 shares Expires 2027-04-18 F2 · derivative.exercise_date: 1/3 of the total number of shares subject to the option vest and become exercisable on each anniversary of the Vesting Commencement Date, such that all of the shares subject to the option shall become vested and exercisable as of the third anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date. Read SEC document |
| April 19, 2017 Filed Apr 21, 2017 16:34 UTC | Adverum Biotechnologies, Inc. ADVM · Entity 71889 | GrantCommon Stock | 48,077 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-027841 · doc4.xml · nonDerivative · entry 1 Spivey Richard N. · CIK 0001648385 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,077 F1 · shares: Restricted Stock Units ("RSUs"). The Reporting Person is entitled to receive one (1) share of Common Stock of the Issuer for each one (1) RSU upon the vesting thereof. Such RSUs vest with respect to 1/3 of the shares subject thereto on each anniversary of April 19, 2017 (the "Vesting Commencement Date"), such that all of the shares subject to the RSUs shall be vested as of the third anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date. 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.