Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Adhera Therapeutics, Inc.MRNA · Entity 127789 | Director | April 16, 2018 | April 18, 2018 |
| Aridis Pharmaceuticals, Inc.ARDS · Entity 89417 | Director | August 13, 2018 | August 13, 2018 |
| Avalo Therapeutics, Inc.CERC · Entity 4936 | Director | December 31, 2018 | January 02, 2019 |
| CONTRAFECT CorpCFRX · Entity 116797 | Director | May 07, 2019 | May 29, 2019 |
| CervoMed Inc.DFFN · Entity 7338 | Director | August 31, 2016 | September 16, 2016 |
| InspireMD, Inc.NSPR · Entity 7318 | Director | December 07, 2016 | December 15, 2016 |
| X4 Pharmaceuticals, IncXFOR · Entity 5638 | Director | March 13, 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.
Adhera Therapeutics, Inc.
Report date April 16, 2018 · Filed April 18, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series E Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.50 | Direct | 2.25 |
Reported balance
After 2018-04-16 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-04-16 · Grant · Acquired 2.25 · Balance 2.25 F1: In connection with the closing of the issuer's private placement of shares of its Series E Convertible Preferred Stock and warrants to purchase shares of its common stock (the "Offering"), which occurred on April 16, 2018, the issuer and the reporting person agreed that the issuer would satisfy all accrued and unpaid fees owed by the issuer to the reporting person for services as a member of the issuer's Board of Directors prior to January 1, 2018, by the issuance by the issuer to the reporting person of 2.25 shares of Series E Preferred Stock and warrants to purchase 16,875 shares of common stock. F2: Each outstanding share of Series E Preferred Stock shall be converted into common stock on the earliest to occur of: (i) any date more than 30 trading days after the closing of the Offering that the closing price of common stock on each of the 30 days immediately prior to such conversion exceeds $5.00; (ii) the three year anniversary of the closing of the Offering; and (iii) the date on which the holders of a majority of the outstanding shares of Series E Preferred Stock elect to convert all of the outstanding shares of Series E Preferred Stock. |
| Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.55 | Direct | 16,875 |
Reported balance
After 2018-04-16 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-04-16 · Grant · Acquired 16,875 · Balance 16,875 F1: In connection with the closing of the issuer's private placement of shares of its Series E Convertible Preferred Stock and warrants to purchase shares of its common stock (the "Offering"), which occurred on April 16, 2018, the issuer and the reporting person agreed that the issuer would satisfy all accrued and unpaid fees owed by the issuer to the reporting person for services as a member of the issuer's Board of Directors prior to January 1, 2018, by the issuance by the issuer to the reporting person of 2.25 shares of Series E Preferred Stock and warrants to purchase 16,875 shares of common stock. F3: The warrants expire on the five year anniversary of the closing of the Offering. |
| Series E Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.50 | IndirectBy trust | 103.7 |
Reported balance
After 2018-04-16 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-04-16 · Conversion · Acquired 103.7 · Balance 103.7 F4: Pursuant to its terms, the unpaid principal balance of the convertible promissory note in the principal amount of $500,000 that the issuer issued to a trust affiliated with the reporting person in November 2017, plus accrued and unpaid interest thereon, converted into 103.7 shares of Series E Preferred Stock and warrants to purchase 777,750 shares of common stock upon the closing of the Offering. As a result of such conversion, the note has been satisfied in full and is no longer outstanding. F2: Each outstanding share of Series E Preferred Stock shall be converted into common stock on the earliest to occur of: (i) any date more than 30 trading days after the closing of the Offering that the closing price of common stock on each of the 30 days immediately prior to such conversion exceeds $5.00; (ii) the three year anniversary of the closing of the Offering; and (iii) the date on which the holders of a majority of the outstanding shares of Series E Preferred Stock elect to convert all of the outstanding shares of Series E Preferred Stock. F5: The applicable securities are held by River Charitable Remainder Unit Trust, FBO Isaac Blech, July 20, 1987, Isaac Blech Trustee, of which trust the reporting person is sole trustee. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of these securities for purposes of Section 16 of the Securities Exchange Act of 1934 as amended, or for any other purpose. |
| Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.55 | IndirectBy trust | 777,750 |
Reported balance
After 2018-04-16 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2018-04-16 · Conversion · Acquired 777,750 · Balance 777,750 F4: Pursuant to its terms, the unpaid principal balance of the convertible promissory note in the principal amount of $500,000 that the issuer issued to a trust affiliated with the reporting person in November 2017, plus accrued and unpaid interest thereon, converted into 103.7 shares of Series E Preferred Stock and warrants to purchase 777,750 shares of common stock upon the closing of the Offering. As a result of such conversion, the note has been satisfied in full and is no longer outstanding. F3: The warrants expire on the five year anniversary of the closing of the Offering. F5: The applicable securities are held by River Charitable Remainder Unit Trust, FBO Isaac Blech, July 20, 1987, Isaac Blech Trustee, of which trust the reporting person is sole trustee. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of these securities for purposes of Section 16 of the Securities Exchange Act of 1934 as amended, or for any other purpose. |
| Convertible Promissory NoteSEC Table II · derivative / convertible security · Conversion / exercise price $5,000.00 | IndirectBy trust | Not disclosed |
Reported balance
After 2018-04-16 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2018-04-16 · Conversion · Disposed Not disclosed · Balance Not disclosed F4: Pursuant to its terms, the unpaid principal balance of the convertible promissory note in the principal amount of $500,000 that the issuer issued to a trust affiliated with the reporting person in November 2017, plus accrued and unpaid interest thereon, converted into 103.7 shares of Series E Preferred Stock and warrants to purchase 777,750 shares of common stock upon the closing of the Offering. As a result of such conversion, the note has been satisfied in full and is no longer outstanding. F6: N/A F7: The note converted into 103.7 shares of Series E Convertible Preferred Stock and warrants to purchase 777,750 shares of common stock. F5: The applicable securities are held by River Charitable Remainder Unit Trust, FBO Isaac Blech, July 20, 1987, Isaac Blech Trustee, of which trust the reporting person is sole trustee. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of these securities for purposes of Section 16 of the Securities Exchange Act of 1934 as amended, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the closing of the issuer's private placement of shares of its Series E Convertible Preferred Stock and warrants to purchase shares of its common stock (the "Offering"), which occurred on April 16, 2018, the issuer and the reporting person agreed that the issuer would satisfy all accrued and unpaid fees owed by the issuer to the reporting person for services as a member of the issuer's Board of Directors prior to January 1, 2018, by the issuance by the issuer to the reporting person of 2.25 shares of Series E Preferred Stock and warrants to purchase 16,875 shares of common stock.
F2: Each outstanding share of Series E Preferred Stock shall be converted into common stock on the earliest to occur of: (i) any date more than 30 trading days after the closing of the Offering that the closing price of common stock on each of the 30 days immediately prior to such conversion exceeds $5.00; (ii) the three year anniversary of the closing of the Offering; and (iii) the date on which the holders of a majority of the outstanding shares of Series E Preferred Stock elect to convert all of the outstanding shares of Series E Preferred Stock.
F3: The warrants expire on the five year anniversary of the closing of the Offering.
F4: Pursuant to its terms, the unpaid principal balance of the convertible promissory note in the principal amount of $500,000 that the issuer issued to a trust affiliated with the reporting person in November 2017, plus accrued and unpaid interest thereon, converted into 103.7 shares of Series E Preferred Stock and warrants to purchase 777,750 shares of common stock upon the closing of the Offering. As a result of such conversion, the note has been satisfied in full and is no longer outstanding.
F5: The applicable securities are held by River Charitable Remainder Unit Trust, FBO Isaac Blech, July 20, 1987, Isaac Blech Trustee, of which trust the reporting person is sole trustee. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of these securities for purposes of Section 16 of the Securities Exchange Act of 1934 as amended, or for any other purpose.
F6: N/A
F7: The note converted into 103.7 shares of Series E Convertible Preferred Stock and warrants to purchase 777,750 shares of common stock.
Aridis Pharmaceuticals, Inc.
Report date August 13, 2018 · Filed August 13, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Warrant to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $14.50 · Expires 2026-12-12 | Direct | Not disclosed |
Reported balance
Holding disclosure · report date 2018-08-13 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance Not disclosed F1: The shares of common stock underlying the warrant vest annually in equal installments beginning on December 12, 2016. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of common stock underlying the warrant vest annually in equal installments beginning on December 12, 2016.
Avalo Therapeutics, Inc.
Report date December 31, 2018 · Filed January 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 $3.23 · Expires 2028-12-30 | Direct | 8,519 |
Reported balance
After 2018-12-31 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-12-31 · Grant · Acquired 8,519 · Balance 8,519 |
CONTRAFECT Corp
Report date May 07, 2019 · Filed May 29, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.53 · Expires 2029-05-07 | Direct | 22,500 |
Reported balance
Holding disclosure · report date 2019-05-07 · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · Balance 22,500 F1: Grant award made under the ContraFect Corporation Omnibus Incentive Plan. Grant vests over one year, 25% at the end of each quarter following the vesting commencement date. |
Filing footnotes · ownership attribution and instrument terms
F1: Grant award made under the ContraFect Corporation Omnibus Incentive Plan. Grant vests over one year, 25% at the end of each quarter following the vesting commencement date.
CervoMed Inc.
Report date August 31, 2016 · Filed September 16, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.00 · Expires 2026-08-31 | Direct | 204,907 |
Reported balance
After 2016-08-31 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2016-08-31 · Grant · Acquired 204,907 · Balance 204,907 F1: Security granted on August 31, 2016 under the Issuer's 2015 Equity Incentive Plan, as amended, as an initial one-time grant to the Reporting Person in connection with his appointment to the Issuer's Board of Directors on August 11, 2016. F2: The option shall vest in 40 quarterly equal (or as nearly equal as possible) installments beginning September 30, 2016. |
Filing footnotes · ownership attribution and instrument terms
F1: Security granted on August 31, 2016 under the Issuer's 2015 Equity Incentive Plan, as amended, as an initial one-time grant to the Reporting Person in connection with his appointment to the Issuer's Board of Directors on August 11, 2016.
F2: The option shall vest in 40 quarterly equal (or as nearly equal as possible) installments beginning September 30, 2016.
InspireMD, Inc.
Report date December 07, 2016 · Filed December 15, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Options to purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $3.04 · Expires 2026-12-07 | Direct | 12,500 |
Reported balance
After 2016-12-07 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2016-12-07 · Grant · Acquired 12,500 · Balance 12,500 F1: The options vest in three equal annual installments, with 1/3 becoming exercisable on each of December 7, 2017, December 7, 2018 and December 7, 2019, subject to Mr. Blech's continued service. |
Filing footnotes · ownership attribution and instrument terms
F1: The options vest in three equal annual installments, with 1/3 becoming exercisable on each of December 7, 2017, December 7, 2018 and December 7, 2019, subject to Mr. Blech's continued service.
X4 Pharmaceuticals, Inc
Report date March 13, 2019 · Filed April 02, 2019 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.84 · Expires 2025-12-14 | Direct | 70,796 |
Reported balance
After 2019-03-13 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2019-03-13 · Grant · Acquired 70,796 · Balance 70,796 F2: Reflects the Reporting Person's stock option to acquire 744,967 shares of X4 common stock for $0.65 per share that was assumed by the Issuer in the merger of Artemis AC Corp., a wholly-owned subsidiary of the Issuer, with and into X4 Therapeutics, Inc. (formerly X4 Pharmaceuticals, Inc.) ("X4") on March 13, 2019 (the "Merger"). F1: Fully vested. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $18.66 · Expires 2029-03-13 | Direct | 6,854 |
Reported balance
After 2019-03-13 transaction · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · 2019-03-13 · Grant · Acquired 6,854 · Balance 6,854 F3: 33.3333% of the shares subject to the option shall vest on March 13, 2020, with the remainder vesting in equal monthly installments of 2.7777% of the shares subject to the option until the 36-month anniversary of the date of the award, subject to the Reporting Person continuing to provide service through each such date. This amendment is being filed solely to report this additional stock option grant, which was granted automatically on March 13, 2019 pursuant to the Issuer's Director Compensation Policy upon such Reporting Person's election to the Board of Directors of the Issuer in connection with the closing of the Merger. |
Filing footnotes · ownership attribution and instrument terms
F1: Fully vested.
F2: Reflects the Reporting Person's stock option to acquire 744,967 shares of X4 common stock for $0.65 per share that was assumed by the Issuer in the merger of Artemis AC Corp., a wholly-owned subsidiary of the Issuer, with and into X4 Therapeutics, Inc. (formerly X4 Pharmaceuticals, Inc.) ("X4") on March 13, 2019 (the "Merger").
F3: 33.3333% of the shares subject to the option shall vest on March 13, 2020, with the remainder vesting in equal monthly installments of 2.7777% of the shares subject to the option until the 36-month anniversary of the date of the award, subject to the Reporting Person continuing to provide service through each such date. This amendment is being filed solely to report this additional stock option grant, which was granted automatically on March 13, 2019 pursuant to the Issuer's Director Compensation Policy upon such Reporting Person's election to the Board of Directors of the Issuer in connection with the closing of the Merger.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
PDS Biotechnology Corp
Report date March 15, 2019 · Filed March 18, 2019
Section 16 reporting ended · disclosed 2019-03-18. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 10,000 |
Reported balance
After 2019-03-15 transaction · row 1
1 source rowRow 1 · 2019-03-15 · Exercise / conversion · Acquired 10,000 · Balance 10,000 F1: Vesting of RSUs granted to the Reporting Person on August 14, 2018. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2019-03-15 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-03-15 · Exercise / conversion · Disposed 10,000 · Balance 0 F2: Each restricted stock unit represents a contingent right to receive one share of Edge common stock upon the vesting of such unit. F1: Vesting of RSUs granted to the Reporting Person on August 14, 2018. F3: These restricted stock units shall become exercisable upon the achievement of certain performance or time based criteria. F4: Expiration date is not applicable as the vested restricted stock units shall be settled on the first business day following the date that such restricted stock units vest. |
Filing footnotes · ownership attribution and instrument terms
F1: Vesting of RSUs granted to the Reporting Person on August 14, 2018.
F2: Each restricted stock unit represents a contingent right to receive one share of Edge common stock upon the vesting of such unit.
F3: These restricted stock units shall become exercisable upon the achievement of certain performance or time based criteria.
F4: Expiration date is not applicable as the vested restricted stock units shall be settled on the first business day following the date that such restricted stock units vest.
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 |
|---|---|---|---|---|---|---|
| March 15, 2019 Filed Mar 18, 2019 17:42 UTC | PDS Biotechnology Corp EDGE · Entity 7939 | Exercise / conversionRestricted Stock Units · Derivative | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-011917 · form4.xml · derivative · entry 2 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Edge common stock upon the vesting of such unit. F1 · kind: Vesting of RSUs granted to the Reporting Person on August 14, 2018. F3 · derivative.exercise_date: These restricted stock units shall become exercisable upon the achievement of certain performance or time based criteria. F4 · derivative.expiration_date: Expiration date is not applicable as the vested restricted stock units shall be settled on the first business day following the date that such restricted stock units vest. Read SEC document |
| March 15, 2019 Filed Mar 18, 2019 17:42 UTC | PDS Biotechnology Corp EDGE · Entity 7939 | Exercise / conversionCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-011917 · form4.xml · nonDerivative · entry 1 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Vesting of RSUs granted to the Reporting Person on August 14, 2018. Read SEC document |
| March 15, 2019 Filed Mar 18, 2019 17:38 UTC | PDS Biotechnology Corp EDGE · Entity 7939 | Exercise / conversionRestricted Stock Units · Derivative | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-011911 · form4.xml · derivative · entry 2 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Edge common stock upon the vesting of such unit. F1 · kind: Vesting of RSUs granted to the Reporting Person on August 14, 2018. F3 · derivative.exercise_date: These restricted stock units shall become exercisable upon the achievement of certain performance or time based criteria. F4 · derivative.expiration_date: Expiration date is not applicable as the vested restricted stock units shall be settled on the first business day following the date that such restricted stock units vest. Read SEC document |
| March 15, 2019 Filed Mar 18, 2019 17:38 UTC | PDS Biotechnology Corp EDGE · Entity 7939 | Exercise / conversionCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-19-011911 · form4.xml · nonDerivative · entry 1 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: Vesting of RSUs granted to the Reporting Person on August 14, 2018. Read SEC document |
| March 13, 2019 Filed Mar 14, 2019 21:35 UTC | X4 Pharmaceuticals, Inc XFOR · Entity 5638 | GrantStock Option (right to buy) · Derivative | 70,796 | Not disclosed Strike: $6.84 | Not disclosed |
DisclosureSEC source: 0000899243-19-007828 · doc4.xml · derivative · entry 1 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,796 Underlying: Common Stock · 70,796 shares Expires 2025-12-14 F2 · price: Reflects the Reporting Person's stock option to acquire 744,967 shares of X4 common stock for $0.65 per share that was assumed by the Issuer in the merger of Artemis AC Corp., a wholly-owned subsidiary of the Issuer, with and into X4 Therapeutics, Inc. (formerly X4 Pharmaceuticals, Inc.) ("X4") on March 13, 2019 (the "Merger"). F1 · derivative.exercise_date: Fully vested. Read SEC document |
| March 13, 2019 Filed Apr 2, 2019 20:02 UTC Amendment | X4 Pharmaceuticals, Inc XFOR · Entity 5638 | GrantStock Option (right to buy) · Derivative | 6,854 | $0.00 Strike: $18.66 | $0.00 |
DisclosureSEC source: 0000899243-19-009670 · doc4a.xml · derivative · entry 2 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,854 Underlying: Common Stock · 6,854 shares Expires 2029-03-13 F3 · derivative.exercise_date: 33.3333% of the shares subject to the option shall vest on March 13, 2020, with the remainder vesting in equal monthly installments of 2.7777% of the shares subject to the option until the 36-month anniversary of the date of the award, subject to the Reporting Person continuing to provide service through each such date. This amendment is being filed solely to report this additional stock option grant, which was granted automatically on March 13, 2019 pursuant to the Issuer's Director Compensation Policy upon such Reporting Person's election to the Board of Directors of the Issuer in connection with the closing of the Merger. Read SEC document |
| March 13, 2019 Filed Apr 2, 2019 20:02 UTC Amendment | X4 Pharmaceuticals, Inc XFOR · Entity 5638 | GrantStock Option (right to buy) · Derivative | 70,796 | Not disclosed Strike: $6.84 | Not disclosed |
DisclosureSEC source: 0000899243-19-009670 · doc4a.xml · derivative · entry 1 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,796 Underlying: Common Stock · 70,796 shares Expires 2025-12-14 F2 · price: Reflects the Reporting Person's stock option to acquire 744,967 shares of X4 common stock for $0.65 per share that was assumed by the Issuer in the merger of Artemis AC Corp., a wholly-owned subsidiary of the Issuer, with and into X4 Therapeutics, Inc. (formerly X4 Pharmaceuticals, Inc.) ("X4") on March 13, 2019 (the "Merger"). F1 · derivative.exercise_date: Fully vested. Read SEC document |
| December 31, 2018 Filed Jan 2, 2019 16:23 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantStock Option (Right to Buy) · Derivative | 8,519 | $0.00 Strike: $3.23 | $0.00 |
DisclosureSEC source: 0001578563-19-000001 · primary_doc.xml · derivative · entry 1 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,519 Underlying: Common Stock · 8,519 shares Expires 2028-12-30 Read SEC document |
| September 28, 2018 Filed Oct 1, 2018 14:09 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantEmployee Stock Option (Right to Buy) · Derivative | 6,041 | $0.00 Strike: $4.67 | $0.00 |
DisclosureSEC source: 0001562180-18-004059 · primarydocument.xml · derivative · entry 1 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,041 Underlying: Common Stock · 6,041 shares Expires 2028-09-28 Read SEC document |
| August 14, 2018 Filed Aug 15, 2018 08:01 UTC | PDS Biotechnology Corp EDGE · Entity 7939 | GrantRestricted Stock Units · Derivative | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-18-025372 · form4.xml · derivative · entry 1 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Edge common stock upon the vesting of such unit. F2 · derivative.exercise_date: These restricted stock units shall become exercisable upon the achievement of certain performance or time based criteria. F3 · derivative.expiration_date: Expiration date is not applicable as the vested restricted stock units shall be settled on the first business day following the date that such restricted stock units vest. Read SEC document |
| June 29, 2018 Filed Jul 2, 2018 17:24 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantEmployee Stock Option (Right to Buy) · Derivative | 6,881 | $0.00 Strike: $4.34 | $0.00 |
DisclosureSEC source: 0001562180-18-003165 · primarydocument.xml · derivative · entry 1 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,881 Underlying: Common Stock · 6,881 shares Expires 2028-06-29 Read SEC document |
| June 19, 2018 Filed Jun 21, 2018 09:22 UTC | PDS Biotechnology Corp EDGE · Entity 7939 | GrantStock Option (Right To Purchase) · Derivative | 20,000 | $0.00 Strike: $1.10 | $0.00 |
DisclosureSEC source: 0001127602-18-021660 · form4.xml · derivative · entry 1 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires not disclosed F1 · derivative.exercise_date: These options shall become exercisable upon the achievement of certain performance or time based criteria. F2 · derivative.expiration_date: These options expire on the third anniversary of the vesting date. Read SEC document |
| May 15, 2018 Filed May 17, 2018 19:18 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantStock Option (Right to Buy) · Derivative | 8,357 | $0.00 Strike: $3.71 | $0.00 |
DisclosureSEC source: 0001578563-18-000007 · primary_doc.xml · derivative · entry 1 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,357 Underlying: Common Stock · 8,357 shares Expires 2028-05-14 F1 · derivative.exercise_date: The stock options will vest in full on May 15, 2019, subject to the grantee's continued service on such vesting date. Read SEC document |
| April 16, 2018 Filed Apr 18, 2018 21:40 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | ConversionConvertible Promissory Note · Derivative | Not disclosed | $0.00 Strike: $5,000.00 | $500,000.00 |
DisclosureSEC source: 0001493152-18-005442 · form4.xml · derivative · entry 5 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: Not disclosed Underlying: Preferred Stock/Warrants · Not disclosed shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · kind: Pursuant to its terms, the unpaid principal balance of the convertible promissory note in the principal amount of $500,000 that the issuer issued to a trust affiliated with the reporting person in November 2017, plus accrued and unpaid interest thereon, converted into 103.7 shares of Series E Preferred Stock and warrants to purchase 777,750 shares of common stock upon the closing of the Offering. As a result of such conversion, the note has been satisfied in full and is no longer outstanding. F6 · derivative.expiration_date: N/A F7 · derivative.underlying: The note converted into 103.7 shares of Series E Convertible Preferred Stock and warrants to purchase 777,750 shares of common stock. F7 · derivative.underlying_shares: The note converted into 103.7 shares of Series E Convertible Preferred Stock and warrants to purchase 777,750 shares of common stock. F5 · ownership.nature: The applicable securities are held by River Charitable Remainder Unit Trust, FBO Isaac Blech, July 20, 1987, Isaac Blech Trustee, of which trust the reporting person is sole trustee. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of these securities for purposes of Section 16 of the Securities Exchange Act of 1934 as amended, or for any other purpose. Read SEC document |
| April 16, 2018 Filed Apr 18, 2018 21:40 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | ConversionWarrants to Purchase Common Stock · Derivative | 777,750 | $0.00 Strike: $0.55 | $0.00 |
DisclosureSEC source: 0001493152-18-005442 · form4.xml · derivative · entry 4 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 777,750 Underlying: common stock · 777,750 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · kind: Pursuant to its terms, the unpaid principal balance of the convertible promissory note in the principal amount of $500,000 that the issuer issued to a trust affiliated with the reporting person in November 2017, plus accrued and unpaid interest thereon, converted into 103.7 shares of Series E Preferred Stock and warrants to purchase 777,750 shares of common stock upon the closing of the Offering. As a result of such conversion, the note has been satisfied in full and is no longer outstanding. F3 · derivative.expiration_date: The warrants expire on the five year anniversary of the closing of the Offering. F5 · ownership.nature: The applicable securities are held by River Charitable Remainder Unit Trust, FBO Isaac Blech, July 20, 1987, Isaac Blech Trustee, of which trust the reporting person is sole trustee. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of these securities for purposes of Section 16 of the Securities Exchange Act of 1934 as amended, or for any other purpose. Read SEC document |
| April 16, 2018 Filed Apr 18, 2018 21:40 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | ConversionSeries E Convertible Preferred Stock · Derivative | 103.7 | $5,000.00 Strike: $0.50 | $518,500.00 |
DisclosureSEC source: 0001493152-18-005442 · form4.xml · derivative · entry 3 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By trust Disclosed balance after: 103.7 Underlying: common stock · 1,037,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · kind: Pursuant to its terms, the unpaid principal balance of the convertible promissory note in the principal amount of $500,000 that the issuer issued to a trust affiliated with the reporting person in November 2017, plus accrued and unpaid interest thereon, converted into 103.7 shares of Series E Preferred Stock and warrants to purchase 777,750 shares of common stock upon the closing of the Offering. As a result of such conversion, the note has been satisfied in full and is no longer outstanding. F2 · derivative.expiration_date: Each outstanding share of Series E Preferred Stock shall be converted into common stock on the earliest to occur of: (i) any date more than 30 trading days after the closing of the Offering that the closing price of common stock on each of the 30 days immediately prior to such conversion exceeds $5.00; (ii) the three year anniversary of the closing of the Offering; and (iii) the date on which the holders of a majority of the outstanding shares of Series E Preferred Stock elect to convert all of the outstanding shares of Series E Preferred Stock. F5 · ownership.nature: The applicable securities are held by River Charitable Remainder Unit Trust, FBO Isaac Blech, July 20, 1987, Isaac Blech Trustee, of which trust the reporting person is sole trustee. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of these securities for purposes of Section 16 of the Securities Exchange Act of 1934 as amended, or for any other purpose. Read SEC document |
| April 16, 2018 Filed Apr 18, 2018 21:40 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | GrantWarrants to Purchase Common Stock · Derivative | 16,875 | $0.00 Strike: $0.55 | $0.00 |
DisclosureSEC source: 0001493152-18-005442 · form4.xml · derivative · entry 2 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,875 Underlying: common stock · 16,875 shares Expires not disclosed F1 · kind: In connection with the closing of the issuer's private placement of shares of its Series E Convertible Preferred Stock and warrants to purchase shares of its common stock (the "Offering"), which occurred on April 16, 2018, the issuer and the reporting person agreed that the issuer would satisfy all accrued and unpaid fees owed by the issuer to the reporting person for services as a member of the issuer's Board of Directors prior to January 1, 2018, by the issuance by the issuer to the reporting person of 2.25 shares of Series E Preferred Stock and warrants to purchase 16,875 shares of common stock. F3 · derivative.expiration_date: The warrants expire on the five year anniversary of the closing of the Offering. Read SEC document |
| April 16, 2018 Filed Apr 18, 2018 21:40 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | GrantSeries E Convertible Preferred Stock · Derivative | 2.25 | $5,000.00 Strike: $0.50 | $11,250.00 |
DisclosureSEC source: 0001493152-18-005442 · form4.xml · derivative · entry 1 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2.25 Underlying: common stock · 22,500 shares Expires not disclosed F1 · kind: In connection with the closing of the issuer's private placement of shares of its Series E Convertible Preferred Stock and warrants to purchase shares of its common stock (the "Offering"), which occurred on April 16, 2018, the issuer and the reporting person agreed that the issuer would satisfy all accrued and unpaid fees owed by the issuer to the reporting person for services as a member of the issuer's Board of Directors prior to January 1, 2018, by the issuance by the issuer to the reporting person of 2.25 shares of Series E Preferred Stock and warrants to purchase 16,875 shares of common stock. F2 · derivative.expiration_date: Each outstanding share of Series E Preferred Stock shall be converted into common stock on the earliest to occur of: (i) any date more than 30 trading days after the closing of the Offering that the closing price of common stock on each of the 30 days immediately prior to such conversion exceeds $5.00; (ii) the three year anniversary of the closing of the Offering; and (iii) the date on which the holders of a majority of the outstanding shares of Series E Preferred Stock elect to convert all of the outstanding shares of Series E Preferred Stock. Read SEC document |
| March 31, 2018 Filed Apr 4, 2018 14:33 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantEmployee Stock Option (Right to Buy) · Derivative | 6,111 | $0.00 Strike: $4.29 | $0.00 |
DisclosureSEC source: 0001562180-18-001827 · primarydocument.xml · derivative · entry 1 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,111 Underlying: Common Stock · 6,111 shares Expires 2028-03-30 Read SEC document |
| January 03, 2018 Filed Jan 3, 2018 19:01 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | GrantOptions to purchase common stock · Derivative | 3,800 | $0.00 Strike: $1.56 | $0.00 |
DisclosureSEC source: 0001587074-18-000005 · primary_doc.xml · derivative · entry 1 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,800 Underlying: common stock · 3,800 shares Expires 2023-01-03 F1 · derivative.exercise_date: Options to purchase 1,900 shares of common stock are exercisable beginning on January 3, 2018, and options to purchase 1,900 shares of common stock are exercisable beginning on January 3, 2019. Read SEC document |
| December 31, 2017 Filed Jan 5, 2018 09:17 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantEmployee Stock Option (Right to Buy) · Derivative | 8,267 | $0.00 Strike: $3.20 | $0.00 |
DisclosureSEC source: 0001104659-18-000890 · a4.xml · derivative · entry 1 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,267 Underlying: Common Stock · 8,267 shares Expires 2027-12-30 Read SEC document |
| November 22, 2017 Filed Nov 27, 2017 17:17 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | GrantStock Option (Right to Buy) · Derivative | 473,457 | $0.00 Strike: $1.80 | $0.00 |
DisclosureSEC source: 0000905536-17-000002 · primary_doc.xml · derivative · entry 1 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 473,457 Underlying: Common Stock · 473,457 shares Expires 2017-11-22 F1 · security: Security granted on November 22, 2017 under the Issuer's 2014 Long-Term Incentive Plan as an initial one-time grant to the Reporting Person in connection with his appointment to the Issuer's Board of Directors on November 22, 2017. F2 · derivative.exercise_date: The option shall vest in twenty (20) equal (or as nearly equal as possible) quarterly installments beginning December 31, 2017. Read SEC document |
| September 30, 2017 Filed Oct 4, 2017 14:23 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantEmployee Stock Option (Right to Buy) · Derivative | 27,560 | $0.00 Strike: $0.85 | $0.00 |
DisclosureSEC source: 0001562180-17-003188 · primarydocument.xml · derivative · entry 1 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,560 Underlying: Common Stock · 27,560 shares Expires 2027-09-29 Read SEC document |
| July 25, 2017 Filed Jul 27, 2017 16:29 UTC | CONTRAFECT Corp CFRX · Entity 116797 | PurchaseWarrants (Right to Buy) · Derivative | 8,000 | $0.01 Strike: $1.55 | $80.00 |
DisclosureSEC source: 0001209191-17-046446 · doc4.xml · derivative · entry 2 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,000 Underlying: Common Stock, par value $0.0001 per share · 8,000 shares Expires 2022-07-25 Read SEC document |
| July 25, 2017 Filed Jul 27, 2017 16:29 UTC | CONTRAFECT Corp CFRX · Entity 116797 | PurchaseCommon Stock, par value $0.0001 per share | 16,000 | $1.24 | $19,840.00 |
DisclosureSEC source: 0001209191-17-046446 · doc4.xml · nonDerivative · entry 1 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,000 Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 13:39 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantEmployee Stock Option (Right to Buy) · Derivative | 36,982 | $0.00 Strike: $0.57 | $0.00 |
DisclosureSEC source: 0001562180-17-002385 · primarydocument.xml · derivative · entry 1 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,982 Underlying: Common Stock · 36,982 shares Expires 2027-06-29 F1 · derivative.exercise_date: The stock options vested immediately and became exercisable in full upon grant on 6/30/2017. Read SEC document |
| June 30, 2017 Filed Jul 31, 2017 13:35 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantEmployee Stock Option (Right to Buy) · Derivative | 8,357 | $0.00 Strike: $0.57 | $0.00 |
DisclosureSEC source: 0001562180-17-002531 · primarydocument.xml · derivative · entry 1 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,357 Underlying: Common Stock · 8,357 shares Expires 2027-06-29 F1 · derivative.exercise_date: The stock options will vest in full on June 30, 2018, subject to the grantees continued service on such vesting date. Read SEC document |
| June 20, 2017 Filed Jun 21, 2017 14:28 UTC | PDS Biotechnology Corp EDGE · Entity 7939 | GrantStock Option (right To Purchase) · Derivative | 15,000 | $10.15 Strike: $10.15 | $152,250.00 |
DisclosureSEC source: 0001127602-17-021957 · form4.xml · derivative · entry 1 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2027-06-20 Read SEC document |
| March 31, 2017 Filed Apr 4, 2017 14:05 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantEmployee Stock Option (Right to Buy) · Derivative | 26,342 | $0.00 Strike: $0.68 | $0.00 |
DisclosureSEC source: 0001562180-17-001403 · primarydocument.xml · derivative · entry 1 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,342 Underlying: Common Stock · 26,342 shares Expires 2027-03-30 Read SEC document |
| December 31, 2016 Filed Jan 4, 2017 14:54 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantEmployee Stock Option (Right to Buy) · Derivative | 17,827 | $0.00 Strike: $0.88 | $0.00 |
DisclosureSEC source: 0001562180-17-000140 · primarydocument.xml · derivative · entry 1 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,827 Underlying: Common Stock · 17,827 shares Expires 2026-12-30 F1 · derivative.exercise_date: The stock options immediately vested and became exercisable in full upon grant on December 31, 2016. Read SEC document |
| December 07, 2016 Filed Dec 15, 2016 06:03 UTC | InspireMD, Inc. NSPR · Entity 7318 | GrantOptions to purchase Common Stock · Derivative | 12,500 | $0.00 Strike: $3.04 | $0.00 |
DisclosureSEC source: 0001493152-16-015887 · form4.xml · derivative · entry 1 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 12,500 shares Expires 2026-12-07 F1 · derivative.exercise_date: The options vest in three equal annual installments, with 1/3 becoming exercisable on each of December 7, 2017, December 7, 2018 and December 7, 2019, subject to Mr. Blech's continued service. Read SEC document |
| September 30, 2016 Filed Oct 3, 2016 15:10 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | GrantEmployee Stock Option (Right to Buy) · Derivative | 3,723 | $0.00 Strike: $4.23 | $0.00 |
DisclosureSEC source: 0001179110-16-030160 · edgar.xml · derivative · entry 1 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,723 Underlying: Common Stock · 3,723 shares Expires 2026-09-29 F1 · derivative.exercise_date: The stock options immediately vested and became exercisable in full upon grant on September 30, 2016. Read SEC document |
| August 31, 2016 Filed Sep 16, 2016 16:05 UTC | CervoMed Inc. DFFN · Entity 7338 | GrantStock Option (Right to Buy) · Derivative | 204,907 | $0.00 Strike: $8.00 | $0.00 |
DisclosureSEC source: 0001437749-16-038810 · rdgdoc.xml · derivative · entry 1 BLECH ISAAC · CIK 0000905536 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,907 Underlying: Common Stock · 204,907 shares Expires 2026-08-31 F1 · security: Security granted on August 31, 2016 under the Issuer's 2015 Equity Incentive Plan, as amended, as an initial one-time grant to the Reporting Person in connection with his appointment to the Issuer's Board of Directors on August 11, 2016. F2 · derivative.exercise_date: The option shall vest in 40 quarterly equal (or as nearly equal as possible) installments beginning September 30, 2016. 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.