Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| IMMUNIC, INC.VTL · Entity 6306 | Chief Financial Officer, EVP | January 11, 2019 | January 15, 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.
IMMUNIC, INC.
Report date January 11, 2019 · Filed January 15, 2019
| 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 2023-09-08 | Direct | 0 |
Reported balance
After 2019-01-11 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-01-11 · Disposition to issuer · Disposed 90,000 · Balance 0 F1: The option was cancelled by mutual agreement of the reporting person and Vital Therapies, Inc. The reporting person received a restricted stock unit award as reported in this Form 4 as consideration for this cancellation. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.28 · Expires 2026-05-12 | Direct | 0 |
Reported balance
After 2019-01-11 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2019-01-11 · Disposition to issuer · Disposed 75,000 · Balance 0 F1: The option was cancelled by mutual agreement of the reporting person and Vital Therapies, Inc. The reporting person received a restricted stock unit award as reported in this Form 4 as consideration for this cancellation. F2: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")), one forty-eighth (1/48th) of the shares subject to the option vested and became exercisable one month after the vesting commencement date of April 16, 2016, and an additional one forty-eighth (1/48th) of the shares vest and become exercisable at the end of each monthly period thereafter. One hundred percent (100%) of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan). |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.20 · Expires 2027-06-09 | Direct | 0 |
Reported balance
After 2019-01-11 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-01-11 · Disposition to issuer · Disposed 75,000 · Balance 0 F1: The option was cancelled by mutual agreement of the reporting person and Vital Therapies, Inc. The reporting person received a restricted stock unit award as reported in this Form 4 as consideration for this cancellation. F3: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")), one forty-eighth (1/48th) of the shares subject to the option vested and became exercisable one month after the vesting commencement date of June 10, 2017, and an additional one forty-eighth (1/48th) of the shares vest and become exercisable at the end of each monthly period thereafter. One hundred percent (100%) of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan). |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.00 · Expires 2028-06-08 | Direct | 0 |
Reported balance
After 2019-01-11 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2019-01-11 · Disposition to issuer · Disposed 75,000 · Balance 0 F1: The option was cancelled by mutual agreement of the reporting person and Vital Therapies, Inc. The reporting person received a restricted stock unit award as reported in this Form 4 as consideration for this cancellation. F4: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")), one forty-eighth (1/48th) of the shares subject to the option vested and became exercisable one month after the vesting commencement date of June 9, 2018, and an additional one forty-eighth (1/48th) of the shares vest and become exercisable at the end of each monthly period thereafter. One hundred percent (100%) of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan). |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 817,826 |
Reported balance
After 2019-01-11 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-01-11 · Grant · Acquired 817,826 · Balance 817,826 F5: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Vital Therapies, Inc. Common Stock. F6: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan), twenty five percent (25%) of the RSUs vest annually after the vesting commencement date of January 11, 2019. One hundred percent (100%) of the unvested portion of the RSUs, if any, shall vest in the event of a Termination without Cause or Resignation for Good Reason (each as defined in the reporting person's Change of Control and Severance Agreement). |
Filing footnotes · ownership attribution and instrument terms
F1: The option was cancelled by mutual agreement of the reporting person and Vital Therapies, Inc. The reporting person received a restricted stock unit award as reported in this Form 4 as consideration for this cancellation.
F2: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")), one forty-eighth (1/48th) of the shares subject to the option vested and became exercisable one month after the vesting commencement date of April 16, 2016, and an additional one forty-eighth (1/48th) of the shares vest and become exercisable at the end of each monthly period thereafter. One hundred percent (100%) of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan).
F3: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")), one forty-eighth (1/48th) of the shares subject to the option vested and became exercisable one month after the vesting commencement date of June 10, 2017, and an additional one forty-eighth (1/48th) of the shares vest and become exercisable at the end of each monthly period thereafter. One hundred percent (100%) of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan).
F4: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")), one forty-eighth (1/48th) of the shares subject to the option vested and became exercisable one month after the vesting commencement date of June 9, 2018, and an additional one forty-eighth (1/48th) of the shares vest and become exercisable at the end of each monthly period thereafter. One hundred percent (100%) of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan).
F5: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Vital Therapies, Inc. Common Stock.
F6: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan), twenty five percent (25%) of the RSUs vest annually after the vesting commencement date of January 11, 2019. One hundred percent (100%) of the unvested portion of the RSUs, if any, shall vest in the event of a Termination without Cause or Resignation for Good Reason (each as defined in the reporting person's Change of Control and Severance Agreement).
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 |
|---|---|---|---|---|---|---|
| January 11, 2019 Filed Jan 15, 2019 02:48 UTC | IMMUNIC, INC. VTL · Entity 6306 | GrantRestricted Stock Units · Derivative | 817,826 | $0.00 | $0.00 |
DisclosureSEC source: 0001280776-19-000016 · wf-form4_154752050707222.xml · derivative · entry 5 Swanson Michael V. · CIK 0001591694 · Chief Financial Officer, EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 817,826 Underlying: Common Stock · 817,826 shares Expires not disclosed F5 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Vital Therapies, Inc. Common Stock. F6 · derivative.exercise_date: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan), twenty five percent (25%) of the RSUs vest annually after the vesting commencement date of January 11, 2019. One hundred percent (100%) of the unvested portion of the RSUs, if any, shall vest in the event of a Termination without Cause or Resignation for Good Reason (each as defined in the reporting person's Change of Control and Severance Agreement). F6 · derivative.expiration_date: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan), twenty five percent (25%) of the RSUs vest annually after the vesting commencement date of January 11, 2019. One hundred percent (100%) of the unvested portion of the RSUs, if any, shall vest in the event of a Termination without Cause or Resignation for Good Reason (each as defined in the reporting person's Change of Control and Severance Agreement). Read SEC document |
| January 11, 2019 Filed Jan 15, 2019 02:48 UTC | IMMUNIC, INC. VTL · Entity 6306 | Disposition to issuerStock Option (right to buy) · Derivative | 75,000 | $0.00 Strike: $5.00 | $0.00 |
DisclosureSEC source: 0001280776-19-000016 · wf-form4_154752050707222.xml · derivative · entry 4 Swanson Michael V. · CIK 0001591694 · Chief Financial Officer, EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 75,000 shares Expires 2028-06-08 F1 · price: The option was cancelled by mutual agreement of the reporting person and Vital Therapies, Inc. The reporting person received a restricted stock unit award as reported in this Form 4 as consideration for this cancellation. F4 · derivative.exercise_date: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")), one forty-eighth (1/48th) of the shares subject to the option vested and became exercisable one month after the vesting commencement date of June 9, 2018, and an additional one forty-eighth (1/48th) of the shares vest and become exercisable at the end of each monthly period thereafter. One hundred percent (100%) of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan). Read SEC document |
| January 11, 2019 Filed Jan 15, 2019 02:48 UTC | IMMUNIC, INC. VTL · Entity 6306 | Disposition to issuerStock Option (right to buy) · Derivative | 75,000 | $0.00 Strike: $3.20 | $0.00 |
DisclosureSEC source: 0001280776-19-000016 · wf-form4_154752050707222.xml · derivative · entry 3 Swanson Michael V. · CIK 0001591694 · Chief Financial Officer, EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 75,000 shares Expires 2027-06-09 F1 · price: The option was cancelled by mutual agreement of the reporting person and Vital Therapies, Inc. The reporting person received a restricted stock unit award as reported in this Form 4 as consideration for this cancellation. F3 · derivative.exercise_date: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")), one forty-eighth (1/48th) of the shares subject to the option vested and became exercisable one month after the vesting commencement date of June 10, 2017, and an additional one forty-eighth (1/48th) of the shares vest and become exercisable at the end of each monthly period thereafter. One hundred percent (100%) of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan). Read SEC document |
| January 11, 2019 Filed Jan 15, 2019 02:48 UTC | IMMUNIC, INC. VTL · Entity 6306 | Disposition to issuerStock Option (right to buy) · Derivative | 75,000 | $0.00 Strike: $8.28 | $0.00 |
DisclosureSEC source: 0001280776-19-000016 · wf-form4_154752050707222.xml · derivative · entry 2 Swanson Michael V. · CIK 0001591694 · Chief Financial Officer, EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 75,000 shares Expires 2026-05-12 F1 · price: The option was cancelled by mutual agreement of the reporting person and Vital Therapies, Inc. The reporting person received a restricted stock unit award as reported in this Form 4 as consideration for this cancellation. F2 · derivative.exercise_date: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")), one forty-eighth (1/48th) of the shares subject to the option vested and became exercisable one month after the vesting commencement date of April 16, 2016, and an additional one forty-eighth (1/48th) of the shares vest and become exercisable at the end of each monthly period thereafter. One hundred percent (100%) of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan). Read SEC document |
| January 11, 2019 Filed Jan 15, 2019 02:48 UTC | IMMUNIC, INC. VTL · Entity 6306 | Disposition to issuerStock Option (right to buy) · Derivative | 90,000 | $0.00 Strike: $8.00 | $0.00 |
DisclosureSEC source: 0001280776-19-000016 · wf-form4_154752050707222.xml · derivative · entry 1 Swanson Michael V. · CIK 0001591694 · Chief Financial Officer, EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 90,000 shares Expires 2023-09-08 F1 · price: The option was cancelled by mutual agreement of the reporting person and Vital Therapies, Inc. The reporting person received a restricted stock unit award as reported in this Form 4 as consideration for this cancellation. Read SEC document |
| June 09, 2018 Filed Jun 11, 2018 23:22 UTC | IMMUNIC, INC. VTL · Entity 6306 | GrantStock Option (right to buy) · Derivative | 75,000 | $0.00 Strike: $5.00 | $0.00 |
DisclosureSEC source: 0001280776-18-000070 · wf-form4_152875936106799.xml · derivative · entry 1 Swanson Michael V. · CIK 0001591694 · Chief Financial Officer, EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2028-06-08 F1 · derivative.exercise_date: One forty-eighth (1/48th) of the shares of common stock subject to the option shall vest monthly beginning on July 9, 2018, such that all of the shares of common stock subject to the option are vested by June 9, 2022, subject to the reporting person's continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")) through each vesting date; provided, that, 100% of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan). Read SEC document |
| June 10, 2017 Filed Jun 14, 2017 00:15 UTC | IMMUNIC, INC. VTL · Entity 6306 | GrantStock Option (right to buy) · Derivative | 75,000 | $0.00 Strike: $3.20 | $0.00 |
DisclosureSEC source: 0001280776-17-000069 · wf-form4_149739928897864.xml · derivative · entry 1 Swanson Michael V. · CIK 0001591694 · Chief Financial Officer, EVP 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2027-06-09 F1 · derivative.exercise_date: One forty-eighth (1/48th) of the shares of common stock subject to the option shall vest monthly beginning on July 10, 2017, such that all of the shares of common stock subject to the option are vested by June 10, 2021, subject to the reporting person's continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")) through each vesting date; provided, that, 100% of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan). 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.