Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Ocugen, Inc.HSGX · Entity 5550 | Chief Medical Officer | October 01, 2018 | October 03, 2018 |
| Senseonics Holdings, Inc.SENS · Entity 5469 | Chief Medical Officer | February 02, 2018 | February 05, 2018 |
| X4 Pharmaceuticals, IncXFOR · Entity 5638 | Chief Medical Officer | April 24, 2019 | April 26, 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.
Ocugen, Inc.
Report date October 01, 2018 · Filed October 03, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.21 · Expires 2028-07-30 | Direct | 0 |
Reported balance
After 2018-10-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-10-01 · Disposition to issuer · Disposed 200,000 · Balance 0 F1: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") that became effective on October 1, 2018. Pursuant to the Option Repricing, the exercise price of each "Relevant Option" (any stock option awarded by the Issuer under it 2012 Equity Incentive Plan or 2013 Equity Incentive Plan with an exercise price greater than $ 0.75628 per share held by current service providers other than the non-employee members of the Issuer's board of directors) has been amended to reduce such exercise price to $0.568, which was the closing price of a share of the Issuer's common stock reported on The Nasdaq Capital Market on October 1, 2018. There have been no other changes to the terms of the Relevant Options. F2: The stock option was originally granted to the Reporting Person on July 31, 2018. This option vests over four (4) years of service following July 31, 2018, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service and in thirty-six (36) equal monthly installments thereafter. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.57 · Expires 2028-07-30 | Direct | 200,000 |
Reported balance
After 2018-10-01 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-10-01 · Grant · Acquired 200,000 · Balance 200,000 F1: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") that became effective on October 1, 2018. Pursuant to the Option Repricing, the exercise price of each "Relevant Option" (any stock option awarded by the Issuer under it 2012 Equity Incentive Plan or 2013 Equity Incentive Plan with an exercise price greater than $ 0.75628 per share held by current service providers other than the non-employee members of the Issuer's board of directors) has been amended to reduce such exercise price to $0.568, which was the closing price of a share of the Issuer's common stock reported on The Nasdaq Capital Market on October 1, 2018. There have been no other changes to the terms of the Relevant Options. F2: The stock option was originally granted to the Reporting Person on July 31, 2018. This option vests over four (4) years of service following July 31, 2018, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service and in thirty-six (36) equal monthly installments thereafter. |
Filing footnotes · ownership attribution and instrument terms
F1: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") that became effective on October 1, 2018. Pursuant to the Option Repricing, the exercise price of each "Relevant Option" (any stock option awarded by the Issuer under it 2012 Equity Incentive Plan or 2013 Equity Incentive Plan with an exercise price greater than $ 0.75628 per share held by current service providers other than the non-employee members of the Issuer's board of directors) has been amended to reduce such exercise price to $0.568, which was the closing price of a share of the Issuer's common stock reported on The Nasdaq Capital Market on October 1, 2018. There have been no other changes to the terms of the Relevant Options.
F2: The stock option was originally granted to the Reporting Person on July 31, 2018. This option vests over four (4) years of service following July 31, 2018, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service and in thirty-six (36) equal monthly installments thereafter.
Senseonics Holdings, Inc.
Report date February 02, 2018 · Filed February 05, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.62 · Expires 2028-02-01 | Direct | 102,192 |
Reported balance
After 2018-02-02 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-02-02 · Grant · Acquired 102,192 · Balance 102,192 F1: Shares vest monthly over four years subject to the reporting person's continuous service with the issuer as of the applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares vest monthly over four years subject to the reporting person's continuous service with the issuer as of the applicable vesting date.
X4 Pharmaceuticals, Inc
Report date April 24, 2019 · Filed April 26, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $20.30 · Expires 2029-04-24 | Direct | 37,170 |
Reported balance
After 2019-04-24 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-04-24 · Grant · Acquired 37,170 · Balance 37,170 F1: 25% of the shares subject to the option shall vest on April 24, 2020, with the remainder vesting in equal installments of 2.083% of the shares subject to the option on the last day of each successive month thereafter for a period of 36 months, subject to the Reporting Person continuing to provide services through each such date. |
Filing footnotes · ownership attribution and instrument terms
F1: 25% of the shares subject to the option shall vest on April 24, 2020, with the remainder vesting in equal installments of 2.083% of the shares subject to the option on the last day of each successive month thereafter for a period of 36 months, subject to the Reporting Person continuing to provide services through each such 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 |
|---|---|---|---|---|---|---|
| April 24, 2019 Filed Apr 26, 2019 19:58 UTC | X4 Pharmaceuticals, Inc XFOR · Entity 5638 | GrantStock Option (right to buy) · Derivative | 37,170 | $0.00 Strike: $20.30 | $0.00 |
DisclosureSEC source: 0000899243-19-011289 · doc4.xml · derivative · entry 1 Kelley Lynne E · CIK 0001667584 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,170 Underlying: Common Stock · 37,170 shares Expires 2029-04-24 F1 · derivative.exercise_date: 25% of the shares subject to the option shall vest on April 24, 2020, with the remainder vesting in equal installments of 2.083% of the shares subject to the option on the last day of each successive month thereafter for a period of 36 months, subject to the Reporting Person continuing to provide services through each such date. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 17:03 UTC | Ocugen, Inc. HSGX · Entity 5550 | GrantEmployee Stock Option (Right to Buy) · Derivative | 200,000 | $0.00 Strike: $0.57 | $0.00 |
DisclosureSEC source: 0000899243-18-026060 · doc4.xml · derivative · entry 2 Kelley Lynne E · CIK 0001667584 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2028-07-30 F1 · kind: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") that became effective on October 1, 2018. Pursuant to the Option Repricing, the exercise price of each "Relevant Option" (any stock option awarded by the Issuer under it 2012 Equity Incentive Plan or 2013 Equity Incentive Plan with an exercise price greater than $ 0.75628 per share held by current service providers other than the non-employee members of the Issuer's board of directors) has been amended to reduce such exercise price to $0.568, which was the closing price of a share of the Issuer's common stock reported on The Nasdaq Capital Market on October 1, 2018. There have been no other changes to the terms of the Relevant Options. F2 · derivative.exercise_date: The stock option was originally granted to the Reporting Person on July 31, 2018. This option vests over four (4) years of service following July 31, 2018, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service and in thirty-six (36) equal monthly installments thereafter. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 17:03 UTC | Ocugen, Inc. HSGX · Entity 5550 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 200,000 | $0.00 Strike: $2.21 | $0.00 |
DisclosureSEC source: 0000899243-18-026060 · doc4.xml · derivative · entry 1 Kelley Lynne E · CIK 0001667584 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 200,000 shares Expires 2028-07-30 F1 · kind: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") that became effective on October 1, 2018. Pursuant to the Option Repricing, the exercise price of each "Relevant Option" (any stock option awarded by the Issuer under it 2012 Equity Incentive Plan or 2013 Equity Incentive Plan with an exercise price greater than $ 0.75628 per share held by current service providers other than the non-employee members of the Issuer's board of directors) has been amended to reduce such exercise price to $0.568, which was the closing price of a share of the Issuer's common stock reported on The Nasdaq Capital Market on October 1, 2018. There have been no other changes to the terms of the Relevant Options. F2 · derivative.exercise_date: The stock option was originally granted to the Reporting Person on July 31, 2018. This option vests over four (4) years of service following July 31, 2018, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service and in thirty-six (36) equal monthly installments thereafter. Read SEC document |
| July 31, 2018 Filed Aug 1, 2018 16:36 UTC | Ocugen, Inc. HSGX · Entity 5550 | GrantEmployee Stock Option (Right to Buy) · Derivative | 200,000 | $0.00 Strike: $2.21 | $0.00 |
DisclosureSEC source: 0000899243-18-020985 · doc4.xml · derivative · entry 1 Kelley Lynne E · CIK 0001667584 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 shares Expires 2028-07-30 F1 · derivative.exercise_date: This option vests over four (4) years of service following August 6, 2018, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service and the balance vesting in thirty-six (36) equal monthly installments thereafter. Read SEC document |
| February 02, 2018 Filed Feb 5, 2018 18:31 UTC | Senseonics Holdings, Inc. SENS · Entity 5469 | GrantStock Option (right to buy) · Derivative | 102,192 | $0.00 Strike: $2.62 | $0.00 |
DisclosureSEC source: 0001209191-18-007645 · doc4.xml · derivative · entry 1 Kelley Lynne E · CIK 0001667584 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,192 Underlying: Common Stock · 102,192 shares Expires 2028-02-01 F1 · derivative.exercise_date: Shares vest monthly over four years subject to the reporting person's continuous service with the issuer as of the applicable vesting date. Read SEC document |
| January 17, 2017 Filed Jan 19, 2017 17:19 UTC | Senseonics Holdings, Inc. SENS · Entity 5469 | GrantStock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $2.74 | $0.00 |
DisclosureSEC source: 0001209191-17-004594 · doc4.xml · derivative · entry 1 Kelley Lynne E · CIK 0001667584 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2027-01-16 F1 · derivative.exercise_date: Shares vest monthly over four years subject to the reporting person's continuous service with the issuer as of the applicable 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.