Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| HARVARD BIOSCIENCE INCHBIO · Entity 7369 | Chief Financial Officer | March 07, 2019 | April 02, 2019 |
| TETRAPHASE PHARMACEUTICALS INCTTPH · Entity 147285 | Chief Financial Officer | January 17, 2018 | January 19, 2018 |
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.
HARVARD BIOSCIENCE INC
Report date March 07, 2019 · Filed April 02, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 54,861 |
Reported balance
After 2019-03-07 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2019-03-07 · Grant · Acquired 37,995 · Balance 54,861 F1: Represents a deferred stock award of 37,995 restricted stock units which shall vest in four equal installments on January 1, 2020, 2021, 2022 and 2023. F2: Includes (a) a deferred stock award of 37,995 restricted stock units which shall vest in four equal installments on January 1, 2020, 2021, 2022 and 2023; (b) a deferred stock award of 13,852 restricted stock units which vest in equal installments on January 1, 2020, 2021 and 2022; and (c) 3,014 shares of common stock held by the Reporting Person. |
| Common StockSEC Table I · non-derivative | Direct | 73,858 |
Reported balance
After 2019-03-07 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2019-03-07 · Grant · Acquired 18,997 · Balance 73,858 F3: Represents a deferred stock award of 18,997 restricted stock units with performance based vesting conditions. These restricted stock units shall vest in equal installments on March 7, 2020, 2021 and 2022, and are linked to the achievement of a relative total shareholder return of the Issuer's common stock from March 7, 2019 to the earlier of (i) March 7, 2020 or (ii) upon a change of control (measured relative to the NASDAQ Biotechnology index and based on the 20-day trading average price before each such date). The target number of these restricted stock units that may be earned is reported above; the maximum amount is 150% of the number reported. F4: Includes (a) the shares and awards described in footnote (2) above, and (b) the award described in footnote (3) above. |
| Stock option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.79 · Expires 2029-03-07 | Direct | 91,139 |
Reported balance
After 2019-03-07 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-03-07 · Grant · Acquired 91,139 · Balance 91,139 F5: The options vest in four equal installments on January 1, 2020, 2021, 2022 and 2023. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents a deferred stock award of 37,995 restricted stock units which shall vest in four equal installments on January 1, 2020, 2021, 2022 and 2023.
F2: Includes (a) a deferred stock award of 37,995 restricted stock units which shall vest in four equal installments on January 1, 2020, 2021, 2022 and 2023; (b) a deferred stock award of 13,852 restricted stock units which vest in equal installments on January 1, 2020, 2021 and 2022; and (c) 3,014 shares of common stock held by the Reporting Person.
F3: Represents a deferred stock award of 18,997 restricted stock units with performance based vesting conditions. These restricted stock units shall vest in equal installments on March 7, 2020, 2021 and 2022, and are linked to the achievement of a relative total shareholder return of the Issuer's common stock from March 7, 2019 to the earlier of (i) March 7, 2020 or (ii) upon a change of control (measured relative to the NASDAQ Biotechnology index and based on the 20-day trading average price before each such date). The target number of these restricted stock units that may be earned is reported above; the maximum amount is 150% of the number reported.
F4: Includes (a) the shares and awards described in footnote (2) above, and (b) the award described in footnote (3) above.
F5: The options vest in four equal installments on January 1, 2020, 2021, 2022 and 2023.
TETRAPHASE PHARMACEUTICALS INC
Report date January 17, 2018 · Filed January 19, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 40,000 |
Reported balance
After 2018-01-17 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-01-17 · Grant · Acquired 40,000 · Balance 40,000 F1: Each restricted stock unit represents a contingent right to receive one share of common stock of Tetraphase Pharmaceuticals, Inc. for no consideration. F2: These restricted stock units shall be earned upon achievement of certain performance conditions and, if earned, shall vest on January 31, 2021. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit represents a contingent right to receive one share of common stock of Tetraphase Pharmaceuticals, Inc. for no consideration.
F2: These restricted stock units shall be earned upon achievement of certain performance conditions and, if earned, shall vest on January 31, 2021.
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 07, 2019 Filed Apr 2, 2019 21:00 UTC | HARVARD BIOSCIENCE INC HBIO · Entity 7369 | GrantStock option (right to buy) · Derivative | 91,139 | $0.00 Strike: $3.79 | $0.00 |
DisclosureSEC source: 0001209191-19-022630 · doc4.xml · derivative · entry 3 Unninayar Kamalam · CIK 0001720065 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,139 Underlying: Common Stock, par value $0.01 per share · 91,139 shares Expires 2029-03-07 F5 · derivative.exercise_date: The options vest in four equal installments on January 1, 2020, 2021, 2022 and 2023. Read SEC document |
| March 07, 2019 Filed Apr 2, 2019 21:00 UTC | HARVARD BIOSCIENCE INC HBIO · Entity 7369 | GrantCommon Stock | 18,997 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-022630 · doc4.xml · nonDerivative · entry 2 Unninayar Kamalam · CIK 0001720065 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,858 F3 · shares: Represents a deferred stock award of 18,997 restricted stock units with performance based vesting conditions. These restricted stock units shall vest in equal installments on March 7, 2020, 2021 and 2022, and are linked to the achievement of a relative total shareholder return of the Issuer's common stock from March 7, 2019 to the earlier of (i) March 7, 2020 or (ii) upon a change of control (measured relative to the NASDAQ Biotechnology index and based on the 20-day trading average price before each such date). The target number of these restricted stock units that may be earned is reported above; the maximum amount is 150% of the number reported. F4 · balance_after: Includes (a) the shares and awards described in footnote (2) above, and (b) the award described in footnote (3) above. Read SEC document |
| March 07, 2019 Filed Apr 2, 2019 21:00 UTC | HARVARD BIOSCIENCE INC HBIO · Entity 7369 | GrantCommon Stock | 37,995 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-022630 · doc4.xml · nonDerivative · entry 1 Unninayar Kamalam · CIK 0001720065 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,861 F1 · shares: Represents a deferred stock award of 37,995 restricted stock units which shall vest in four equal installments on January 1, 2020, 2021, 2022 and 2023. F2 · balance_after: Includes (a) a deferred stock award of 37,995 restricted stock units which shall vest in four equal installments on January 1, 2020, 2021, 2022 and 2023; (b) a deferred stock award of 13,852 restricted stock units which vest in equal installments on January 1, 2020, 2021 and 2022; and (c) 3,014 shares of common stock held by the Reporting Person. Read SEC document |
| January 01, 2019 Filed Jan 3, 2019 21:07 UTC | HARVARD BIOSCIENCE INC HBIO · Entity 7369 | Tax withholdingCommon Stock | 1,603 | $3.18 | $5,097.54 |
DisclosureSEC source: 0001209191-19-000884 · doc4.xml · nonDerivative · entry 1 Unninayar Kamalam · CIK 0001720065 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,866 F1 · shares: The shares were disposed of to satisfy the Reporting Person's tax withholding obligation in connection with deferred stock awards previously granted to the Reporting Person which vested in part on January 1, 2019. F2 · balance_after: Includes (a) a deferred stock award of 13,852 restricted stock units which vest in three equal annual installments on January 1, 2020, 2021 and 2022; and (b) 3,014 shares of common stock held by the Reporting Person. Read SEC document |
| November 26, 2018 Filed Nov 27, 2018 21:45 UTC | HARVARD BIOSCIENCE INC HBIO · Entity 7369 | GrantStock option (right to buy) · Derivative | 44,585 | $0.00 Strike: $3.79 | $0.00 |
DisclosureSEC source: 0001209191-18-060004 · doc4.xml · derivative · entry 2 Unninayar Kamalam · CIK 0001720065 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,585 Underlying: Common Stock, par value $0.01 per share · 44,585 shares Expires 2028-11-26 F3 · derivative.exercise_date: This stock option vests in four equal annual installments on November 1, 2019, 2020, 2021 and 2022. Read SEC document |
| November 26, 2018 Filed Nov 27, 2018 21:45 UTC | HARVARD BIOSCIENCE INC HBIO · Entity 7369 | GrantCommon Stock | 18,469 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-060004 · doc4.xml · nonDerivative · entry 1 Unninayar Kamalam · CIK 0001720065 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,469 F1 · shares: Represents a deferred stock award of restricted stock units which shall vest in four equal annual installments on January 1, 2019, 2020, 2021 and 2022. F2 · balance_after: Includes a deferred stock award of 18,469 restricted stock units which vest in four equal annual installments on January 1, 2019, 2020, 2021 and 2022. Read SEC document |
| January 17, 2018 Filed Jan 19, 2018 19:48 UTC | TETRAPHASE PHARMACEUTICALS INC TTPH · Entity 147285 | GrantRestricted Stock Unit · Derivative | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-004656 · doc4.xml · derivative · entry 1 Unninayar Kamalam · CIK 0001720065 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock of Tetraphase Pharmaceuticals, Inc. for no consideration. F2 · derivative.exercise_date: These restricted stock units shall be earned upon achievement of certain performance conditions and, if earned, shall vest on January 31, 2021. F2 · derivative.expiration_date: These restricted stock units shall be earned upon achievement of certain performance conditions and, if earned, shall vest on January 31, 2021. Read SEC document |
| November 15, 2017 Filed Nov 15, 2017 19:27 UTC | TETRAPHASE PHARMACEUTICALS INC TTPH · Entity 147285 | GrantEmployee Stock Option (Right to Buy) · Derivative | 190,000 | $0.00 Strike: $6.07 | $0.00 |
DisclosureSEC source: 0001209191-17-061004 · doc4.xml · derivative · entry 1 Unninayar Kamalam · CIK 0001720065 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,000 Underlying: Common Stock · 190,000 shares Expires 2027-11-14 F1 · derivative.exercise_date: This option vests over four years. Twenty-five percent (25%) of the shares will vest on November 15, 2018 and 6.25% of the shares will vest at the end of each successive three month period thereafter. 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.