Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Dare Bioscience, Inc.DARE · Entity 7799 | Director | June 13, 2019 | June 14, 2019 |
| ZOGENIX, INC.ZGNX · Entity 129305 | Director | March 29, 2019 | April 02, 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.
Dare Bioscience, Inc.
Report date June 13, 2019 · Filed June 14, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.90 · Expires 2029-06-13 | Direct | 22,500 |
Reported balance
After 2019-06-13 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-06-13 · Grant · Acquired 22,500 · Balance 22,500 F1: This option will vest in full on the earlier of the first anniversary of the grant date or immediately prior to the issuer's first annual meeting of stockholders occurring after the grant date, subject to the director's continued service as a director, and will become exercisable in full upon a change in control of the issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: This option will vest in full on the earlier of the first anniversary of the grant date or immediately prior to the issuer's first annual meeting of stockholders occurring after the grant date, subject to the director's continued service as a director, and will become exercisable in full upon a change in control of the issuer.
ZOGENIX, INC.
Report date March 29, 2019 · Filed April 02, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 10,575 |
Ending reported balance
After 2019-03-29 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2019-03-29 · Exercise / conversion · Acquired 5,000 · Balance 15,575 Row 2 · 2019-03-29 · Sale · Disposed 5,000 · Balance 10,575 F1: The exercise and sale transactions reported in this Form 4 are made pursuant to a Rule 10b5-1 trading plan. Row 3 · 2019-03-29 · Exercise / conversion · Acquired 15,700 · Balance 26,275 Row 4 · 2019-03-29 · Sale · Disposed 15,700 · Balance 10,575 F1: The exercise and sale transactions reported in this Form 4 are made pursuant to a Rule 10b5-1 trading plan. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $20.00 · Expires 2019-09-01 | Direct | 2,500 |
Reported balance
After 2019-03-29 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-03-29 · Exercise / conversion · Disposed 5,000 · Balance 2,500 F2: The Option was granted on September 1, 2009 and vests in a series of twenty-four (24) successive, equal monthly installments measured from the date of grant, subject to the Reporting Person's continued service to the Company on each vesting date. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $33.92 · Expires 2021-03-01 | Direct | 20,624 |
Reported balance
After 2019-03-29 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-03-29 · Exercise / conversion · Disposed 15,700 · Balance 20,624 F3: The Option was granted on March 1, 2011 and vests in a series of forty-eight (48) successive, equal monthly installments measured from the date of grant, subject to the Reporting Person's continued service to the Company on each vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The exercise and sale transactions reported in this Form 4 are made pursuant to a Rule 10b5-1 trading plan.
F2: The Option was granted on September 1, 2009 and vests in a series of twenty-four (24) successive, equal monthly installments measured from the date of grant, subject to the Reporting Person's continued service to the Company on each vesting date.
F3: The Option was granted on March 1, 2011 and vests in a series of forty-eight (48) successive, equal monthly installments measured from the date of grant, subject to the Reporting Person's continued service to the Company on each vesting date.
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 |
|---|---|---|---|---|---|---|
| December 07, 2017 Filed Dec 11, 2017 20:13 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Exercise / conversionStock Option (Right to Buy) · Derivative | 12,370 | $0.00 Strike: $10.64 | $0.00 |
DisclosureSEC source: 0000899243-17-028504 · doc4.xml · derivative · entry 18 HAWLEY ROGER · CIK 0001257386 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,879 Underlying: Common Stock · 12,370 shares Expires 2025-03-17 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. F5 · derivative.exercise_date: The option was granted on March 17, 2015 and vested in a series of forty-eight (48) successive, equal monthly installments beginning on March 17, 2015, subject to the Reporting Person's continued employment with or service to the company on each such vesting date. Read SEC document |
| December 07, 2017 Filed Dec 11, 2017 20:13 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Exercise / conversionStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $15.04 | $0.00 |
DisclosureSEC source: 0000899243-17-028504 · doc4.xml · derivative · entry 17 HAWLEY ROGER · CIK 0001257386 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,999 Underlying: Common Stock · 15,000 shares Expires 2022-04-27 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. F4 · derivative.exercise_date: The option was granted on April 27, 2012 and vested in a series of forty-eight (48) successive, equal monthly installments beginning on April 27, 2012, subject to the Reporting Person's continued employment with or service to the company on each vesting date. Read SEC document |
| December 07, 2017 Filed Dec 11, 2017 20:13 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | SaleCommon Stock | 20,000 | $36.40 | $728,000.00 |
DisclosureSEC source: 0000899243-17-028504 · doc4.xml · nonDerivative · entry 8 HAWLEY ROGER · CIK 0001257386 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,575 Read SEC document |
| December 07, 2017 Filed Dec 11, 2017 20:13 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Exercise / conversionCommon Stock | 20,000 | $8.99 | $179,800.00 |
DisclosureSEC source: 0000899243-17-028504 · doc4.xml · nonDerivative · entry 7 HAWLEY ROGER · CIK 0001257386 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,575 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. Read SEC document |
| December 07, 2017 Filed Dec 11, 2017 20:13 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | SaleCommon Stock | 9,000 | $36.40 | $327,600.00 |
DisclosureSEC source: 0000899243-17-028504 · doc4.xml · nonDerivative · entry 6 HAWLEY ROGER · CIK 0001257386 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,575 Read SEC document |
| December 07, 2017 Filed Dec 11, 2017 20:13 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Exercise / conversionCommon Stock | 9,000 | $12.80 | $115,200.00 |
DisclosureSEC source: 0000899243-17-028504 · doc4.xml · nonDerivative · entry 5 HAWLEY ROGER · CIK 0001257386 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,575 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. Read SEC document |
| December 07, 2017 Filed Dec 11, 2017 20:13 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | SaleCommon Stock | 12,370 | $36.40 | $450,268.00 |
DisclosureSEC source: 0000899243-17-028504 · doc4.xml · nonDerivative · entry 4 HAWLEY ROGER · CIK 0001257386 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,575 Read SEC document |
| December 07, 2017 Filed Dec 11, 2017 20:13 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Exercise / conversionCommon Stock | 12,370 | $10.64 | $131,616.80 |
DisclosureSEC source: 0000899243-17-028504 · doc4.xml · nonDerivative · entry 3 HAWLEY ROGER · CIK 0001257386 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,945 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. Read SEC document |
| December 07, 2017 Filed Dec 11, 2017 20:13 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | SaleCommon Stock | 15,000 | $36.92 | $553,744.50 |
DisclosureSEC source: 0000899243-17-028504 · doc4.xml · nonDerivative · entry 2 HAWLEY ROGER · CIK 0001257386 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,575 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.90 to $36.95, inclusive. The Reporting Person undertakes to provide, upon request to the Securities Exchange Commission staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| December 07, 2017 Filed Dec 11, 2017 20:13 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Exercise / conversionCommon Stock | 15,000 | $15.04 | $225,600.00 |
DisclosureSEC source: 0000899243-17-028504 · doc4.xml · nonDerivative · entry 1 HAWLEY ROGER · CIK 0001257386 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,575 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. Read SEC document |
| July 19, 2017 Filed Jul 21, 2017 20:09 UTC | Dare Bioscience, Inc. DARE · Entity 7799 | GrantOption to Purchase Common Stock · Derivative | 2,200 | $0.00 Strike: $6.56 | $0.00 |
DisclosureSEC source: 0001209191-17-045934 · doc4.xml · derivative · entry 4 HAWLEY ROGER · CIK 0001257386 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,200 Underlying: Common Stock · 2,200 shares Expires 2027-07-19 F6 · derivative.exercise_price: The exercise price reported reflects the 10 for 1 reverse stock split effected by the Corporation on July 20, 2017. F7 · shares: Mr. Hawley was awarded options to purchase shares of the Corporation's common stock in connection with his service as a member of the Board of Directors (the "Director Options") pursuant to the Corporation's 2014 Stock Incentive Plan and the Non-Employee Director Compensation Policy. F8 · derivative.exercise_date: The Director Options will vest in equal annual installments over a three year period measured from the date of grant, subject to Mr. Hawley's continued service to the Corporation, and will become exercisable in full upon a change of control of the Corporation. Read SEC document |
| July 19, 2017 Filed Jul 21, 2017 20:09 UTC | Dare Bioscience, Inc. DARE · Entity 7799 | GrantOption to Purchase Common Stock · Derivative | 10,149 | Not disclosed Strike: $0.01 | Not disclosed |
DisclosureSEC source: 0001209191-17-045934 · doc4.xml · derivative · entry 3 HAWLEY ROGER · CIK 0001257386 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,149 Underlying: Common Stock · 10,149 shares Expires 2025-12-01 F1 · shares: In exchange for the issuance of shares of common stock and options to purchase shares of common stock of Dare Bioscience, Inc. (the "Corporation"), the Corporation acquired all of the issued and outstanding shares of common stock of Dare Bioscience Operations, Inc. ("Dare Operations") pursuant to the terms of a Stock Purchase Agreement, dated March 19, 2017, by and between the Corporation, Dare Operations and certain equityholders of Dare Operations party thereto, as filed with the Securities and Exchange Commission on Form 8-K on March 20, 2017 (such exchanges and issuances, the "Transaction"). F4 · shares: The shares of common stock of the Corporation excercisable pursuant to the option reported reflect the 10 for 1 reverse stock split effected by the Corporation on July 20, 2017. These options to purchase common stock of the Corporation were received in connection with the Transaction in exchange for 50,000 options to purchase shares of common stock of Dare Operations. Each option to purchase one share of common stock of Dare Operations was cancelled and exchanged for the right to receive an option to purchase 0.2029969047 shares of common stock of the Corporation (on a post-split basis). F4 · price: The shares of common stock of the Corporation excercisable pursuant to the option reported reflect the 10 for 1 reverse stock split effected by the Corporation on July 20, 2017. These options to purchase common stock of the Corporation were received in connection with the Transaction in exchange for 50,000 options to purchase shares of common stock of Dare Operations. Each option to purchase one share of common stock of Dare Operations was cancelled and exchanged for the right to receive an option to purchase 0.2029969047 shares of common stock of the Corporation (on a post-split basis). F5 · derivative.exercise_date: Commencing on May 28, 2015 (the "Vesting Start Date"), Mr. Hawley shall acquire a vested interest in the shares of common stock of the Corporation exercisable pursuant to the option in a series of three (3) successive annual installments on the yearly anniversary of the Vesting Start Date, subject to Mr. Hawley's continued service to the Corporation. Read SEC document |
| July 19, 2017 Filed Jul 21, 2017 20:09 UTC | Dare Bioscience, Inc. DARE · Entity 7799 | GrantCommon Stock | 307,714 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-045934 · doc4.xml · nonDerivative · entry 2 HAWLEY ROGER · CIK 0001257386 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By The Hawley Family Trust Dated October 22, 2004 Disclosed balance after: 490,411 F1 · price: In exchange for the issuance of shares of common stock and options to purchase shares of common stock of Dare Bioscience, Inc. (the "Corporation"), the Corporation acquired all of the issued and outstanding shares of common stock of Dare Bioscience Operations, Inc. ("Dare Operations") pursuant to the terms of a Stock Purchase Agreement, dated March 19, 2017, by and between the Corporation, Dare Operations and certain equityholders of Dare Operations party thereto, as filed with the Securities and Exchange Commission on Form 8-K on March 20, 2017 (such exchanges and issuances, the "Transaction"). F3 · price: The shares of common stock of the Corporation reported reflect the 10 for 1 reverse stock split effected by the Corporation on July 20, 2017. These shares of common stock of the Corporation were received in connection with the Transaction in exchange for 1,515,857 shares of Dare Operations common stock. On the effective date of the Transaction, the closing price of the common stock of the Corporation, as reported on The Nasdaq Capital Market, was $6.56 per share (on a post-split basis). Each share of common stock of Dare Operations was cancelled and exchanged for the right to receive 0.2029969047 shares of common stock of the Corporation (on a post-split basis). Read SEC document |
| July 19, 2017 Filed Jul 21, 2017 20:09 UTC | Dare Bioscience, Inc. DARE · Entity 7799 | GrantCommon Stock | 182,697 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-045934 · doc4.xml · nonDerivative · entry 1 HAWLEY ROGER · CIK 0001257386 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,697 F1 · price: In exchange for the issuance of shares of common stock and options to purchase shares of common stock of Dare Bioscience, Inc. (the "Corporation"), the Corporation acquired all of the issued and outstanding shares of common stock of Dare Bioscience Operations, Inc. ("Dare Operations") pursuant to the terms of a Stock Purchase Agreement, dated March 19, 2017, by and between the Corporation, Dare Operations and certain equityholders of Dare Operations party thereto, as filed with the Securities and Exchange Commission on Form 8-K on March 20, 2017 (such exchanges and issuances, the "Transaction"). F2 · price: The shares of common stock of the Corporation reported reflect the 10 for 1 reverse stock split effected by the Corporation on July 20, 2017. These shares of common stock of the Corporation were received in connection with the Transaction in exchange for 900,000 shares of Dare Operations common stock. On the effective date of the Transaction, the closing price of the common stock of the Corporation, as reported on The Nasdaq Capital Market, was $6.56 per share (on a post-split basis). Each share of common stock of Dare Operations was cancelled and exchanged for the right to receive 0.2029969047 shares of common stock of the Corporation (on a post-split basis). Read SEC document |
| May 23, 2017 Filed May 23, 2017 19:02 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | GrantStock Option (Right to Buy) · Derivative | 20,000 | $0.00 Strike: $12.75 | $0.00 |
DisclosureSEC source: 0001375151-17-000037 · wf-form4_149558054470817.xml · derivative · entry 1 HAWLEY ROGER · CIK 0001257386 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2027-05-22 F1 · kind: Annual director stock option grant under the issuer's incentive compensation plan. F2 · derivative.exercise_date: The option was granted on May 23, 2017, the date of the Company's Annual Meeting of Stockholders, and vests in a series of twelve (12) successive, equal monthly installments beginning on June 23, 2017, subject to the reporting person's continued service to the Company on each 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.