Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Protagonist Therapeutics, IncPTGX · Entity 3552 | Chief Medical Officer | February 28, 2019 | March 04, 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.
Protagonist Therapeutics, Inc
Report date February 28, 2019 · Filed March 04, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 32,021 |
Ending reported balance
After 2019-03-01 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-02-28 · Grant · Acquired 8,500 · Balance 32,678 F1: Represents grant of the restricted stock units payable solely in common stock that vest in equal annual installments over four years from the grant date. Row 2 · 2019-03-01 · Sale · Disposed 657 · Balance 32,021 F2: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units. These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.02 · Expires 2029-02-27 | Direct | 51,000 |
Reported balance
After 2019-02-28 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-02-28 · Grant · Acquired 51,000 · Balance 51,000 F3: The stock option vests in 48 equal monthly installments following the date of grant. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents grant of the restricted stock units payable solely in common stock that vest in equal annual installments over four years from the grant date.
F2: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units. These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.
F3: The stock option vests in 48 equal monthly installments following the date of grant.
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 01, 2019 Filed Mar 4, 2019 23:29 UTC | Protagonist Therapeutics, Inc PTGX · Entity 3552 | SaleCommon Stock | 657 | $8.03 | $5,275.71 |
DisclosureSEC source: 0001209191-19-015927 · doc4.xml · nonDerivative · entry 2 Shames Richard S. · CIK 0001675878 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,021 F2 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units. These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person. Read SEC document |
| February 28, 2019 Filed Mar 4, 2019 23:29 UTC | Protagonist Therapeutics, Inc PTGX · Entity 3552 | GrantStock Option (right to buy) · Derivative | 51,000 | $0.00 Strike: $8.02 | $0.00 |
DisclosureSEC source: 0001209191-19-015927 · doc4.xml · derivative · entry 3 Shames Richard S. · CIK 0001675878 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,000 Underlying: Common Stock · 51,000 shares Expires 2029-02-27 F3 · derivative.exercise_date: The stock option vests in 48 equal monthly installments following the date of grant. Read SEC document |
| February 28, 2019 Filed Mar 4, 2019 23:29 UTC | Protagonist Therapeutics, Inc PTGX · Entity 3552 | GrantCommon Stock | 8,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-015927 · doc4.xml · nonDerivative · entry 1 Shames Richard S. · CIK 0001675878 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,678 F1 · shares: Represents grant of the restricted stock units payable solely in common stock that vest in equal annual installments over four years from the grant date. Read SEC document |
| February 06, 2019 Filed Feb 8, 2019 22:27 UTC | Protagonist Therapeutics, Inc PTGX · Entity 3552 | SaleCommon Stock | 2,580 | $7.71 | $19,891.80 |
DisclosureSEC source: 0001209191-19-008675 · doc4.xml · nonDerivative · entry 2 Shames Richard S. · CIK 0001675878 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,178 F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units. These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person. Read SEC document |
| February 06, 2019 Filed Feb 8, 2019 22:27 UTC | Protagonist Therapeutics, Inc PTGX · Entity 3552 | SaleCommon Stock | 198 | $8.15 | $1,613.70 |
DisclosureSEC source: 0001209191-19-008675 · doc4.xml · nonDerivative · entry 1 Shames Richard S. · CIK 0001675878 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,758 F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units. These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person. Read SEC document |
| August 15, 2018 Filed Aug 18, 2018 00:28 UTC | Protagonist Therapeutics, Inc PTGX · Entity 3552 | GrantStock Option (right to buy) · Derivative | 12,500 | $0.00 Strike: $8.58 | $0.00 |
DisclosureSEC source: 0001209191-18-047548 · doc4.xml · derivative · entry 2 Shames Richard S. · CIK 0001675878 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 12,500 shares Expires 2028-08-14 F3 · derivative.exercise_date: 1/3rd of the total number of shares underlying this option shall vest on each of February 5, 2019, August 5, 2019 and February 5, 2020. Read SEC document |
| August 15, 2018 Filed Aug 18, 2018 00:28 UTC | Protagonist Therapeutics, Inc PTGX · Entity 3552 | GrantCommon Stock | 18,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-047548 · doc4.xml · nonDerivative · entry 1 Shames Richard S. · CIK 0001675878 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,956 F1 · shares: Represents grant of the restricted stock units payable solely in common stock that vest as follows: 1/3rd of the total number of shares shall vest on each of February 5, 2019, August 5, 2019 and February 5, 2020. F2 · balance_after: Includes 1,706 shares acquired by the Reporting Person under the Issuer's 2016 Employee Stock Purchase Plan on March 9, 2018. Read SEC document |
| February 28, 2018 Filed Mar 3, 2018 00:26 UTC | Protagonist Therapeutics, Inc PTGX · Entity 3552 | GrantStock Option (right to buy) · Derivative | 37,500 | $0.00 Strike: $16.95 | $0.00 |
DisclosureSEC source: 0001209191-18-016039 · doc4.xml · derivative · entry 2 Shames Richard S. · CIK 0001675878 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,500 Underlying: Common Stock · 37,500 shares Expires 2028-02-27 F2 · derivative.exercise_date: The shares underlying this option shall vest as to 25% after one year following the grant date, and the remainder will vest in equal monthly installments over the following three years. Read SEC document |
| February 28, 2018 Filed Mar 3, 2018 00:26 UTC | Protagonist Therapeutics, Inc PTGX · Entity 3552 | GrantCommon Stock | 6,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-016039 · doc4.xml · nonDerivative · entry 1 Shames Richard S. · CIK 0001675878 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,500 F1 · shares: Represents grant of the restricted stock units payable solely in common stock that vest in equal annual installments over four years from the grant date. Read SEC document |
| December 22, 2017 Filed Dec 27, 2017 19:07 UTC | Protagonist Therapeutics, Inc PTGX · Entity 3552 | Exercise / conversionStock Option (right to buy) · Derivative | 3,529 | $0.00 Strike: $4.21 | $0.00 |
DisclosureSEC source: 0001209191-17-067392 · doc4.xml · derivative · entry 3 Shames Richard S. · CIK 0001675878 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,273 Underlying: Common Stock · 3,529 shares Expires 2026-04-29 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_date: The option vests over a four-year period, with 1/4th of the shares subject to the option vesting on the one year anniversary of the vesting commencement date, and 1/36th of the remaining shares subject to the option vesting each month, subject to the Reporting Person continuing to be a service provider of the Issuer through each such date. Read SEC document |
| December 22, 2017 Filed Dec 27, 2017 19:07 UTC | Protagonist Therapeutics, Inc PTGX · Entity 3552 | SaleCommon Stock | 3,529 | $20.50 | $72,344.50 |
DisclosureSEC source: 0001209191-17-067392 · doc4.xml · nonDerivative · entry 2 Shames Richard S. · CIK 0001675878 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 9, 2017. Read SEC document |
| December 22, 2017 Filed Dec 27, 2017 19:07 UTC | Protagonist Therapeutics, Inc PTGX · Entity 3552 | Exercise / conversionCommon Stock | 3,529 | $4.21 | $14,857.09 |
DisclosureSEC source: 0001209191-17-067392 · doc4.xml · nonDerivative · entry 1 Shames Richard S. · CIK 0001675878 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,529 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 |
| October 05, 2017 Filed Oct 10, 2017 23:04 UTC | Protagonist Therapeutics, Inc PTGX · Entity 3552 | Exercise / conversionStock Option (right to buy) · Derivative | 2,017 | $0.00 Strike: $4.21 | $0.00 |
DisclosureSEC source: 0001209191-17-056551 · doc4.xml · derivative · entry 3 Shames Richard S. · CIK 0001675878 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,802 Underlying: Common Stock · 2,017 shares Expires 2026-04-29 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_date: The option vests over a four-year period, with 1/4th of the shares subject to the option vesting on the one year anniversary of the vesting commencement date, and 1/36th of the remaining shares subject to the option vesting each month, subject to the Reporting Person continuing to be a service provider of the Issuer through each such date. Read SEC document |
| October 05, 2017 Filed Oct 10, 2017 23:04 UTC | Protagonist Therapeutics, Inc PTGX · Entity 3552 | SaleCommon Stock | 2,017 | $19.00 | $38,323.00 |
DisclosureSEC source: 0001209191-17-056551 · doc4.xml · nonDerivative · entry 2 Shames Richard S. · CIK 0001675878 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 9, 2017. Read SEC document |
| October 05, 2017 Filed Oct 10, 2017 23:04 UTC | Protagonist Therapeutics, Inc PTGX · Entity 3552 | Exercise / conversionCommon Stock | 2,017 | $4.21 | $8,491.57 |
DisclosureSEC source: 0001209191-17-056551 · doc4.xml · nonDerivative · entry 1 Shames Richard S. · CIK 0001675878 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,017 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 |
| September 12, 2017 Filed Sep 12, 2017 23:50 UTC | Protagonist Therapeutics, Inc PTGX · Entity 3552 | SaleCommon Stock | 3,687 | $14.31 | $52,752.86 |
DisclosureSEC source: 0001209191-17-052501 · doc4.xml · nonDerivative · entry 1 Shames Richard S. · CIK 0001675878 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 9, 2017. F2 · shares: Includes 1,822 shares acquired by the Reporting Person under the Issuer's 2016 Employee Stock Purchase Plan on September 8, 2017. F3 · price: The shares were sold at prices ranging from $14.251 to $14.3443. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price. Read SEC document |
| August 29, 2017 Filed Aug 30, 2017 23:08 UTC | Protagonist Therapeutics, Inc PTGX · Entity 3552 | Exercise / conversionStock Option (right to buy) · Derivative | 1,512 | $0.00 Strike: $4.21 | $0.00 |
DisclosureSEC source: 0001209191-17-050815 · doc4.xml · derivative · entry 3 Shames Richard S. · CIK 0001675878 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,819 Underlying: Common Stock · 1,512 shares Expires 2026-04-29 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. F3 · derivative.exercise_date: The option vests over a four-year period, with 1/4th of the shares subject to the option vesting on the one year anniversary of the vesting commencement date, and 1/36th of the remaining shares subject to the option vesting each month, subject to the Reporting Person continuing to be a service provider of the Issuer through each such date. Read SEC document |
| August 29, 2017 Filed Aug 30, 2017 23:08 UTC | Protagonist Therapeutics, Inc PTGX · Entity 3552 | SaleCommon Stock | 1,512 | $17.00 | $25,704.00 |
DisclosureSEC source: 0001209191-17-050815 · doc4.xml · nonDerivative · entry 2 Shames Richard S. · CIK 0001675878 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,865 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 9, 2017. Read SEC document |
| August 29, 2017 Filed Aug 30, 2017 23:08 UTC | Protagonist Therapeutics, Inc PTGX · Entity 3552 | Exercise / conversionCommon Stock | 1,512 | $4.21 | $6,365.52 |
DisclosureSEC source: 0001209191-17-050815 · doc4.xml · nonDerivative · entry 1 Shames Richard S. · CIK 0001675878 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,377 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 · balance_after: Includes 1,865 shares acquired by the Reporting Person under the Issuer's 2016 Employee Stock Purchase Plan on March 9, 2017. Read SEC document |
| October 11, 2016 Filed Oct 13, 2016 20:32 UTC | Protagonist Therapeutics, Inc PTGX · Entity 3552 | GrantStock Option (right to buy) · Derivative | 65,000 | $0.00 Strike: $21.58 | $0.00 |
DisclosureSEC source: 0001209191-16-145809 · doc4.xml · derivative · entry 1 Shames Richard S. · CIK 0001675878 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,000 Underlying: Common Stock · 65,000 shares Expires 2026-10-11 F1 · derivative.exercise_date: The shares subject to the option shall vest in 48 equal monthly installments from the vesting commencement date of August 10, 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.