Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Adhera Therapeutics, Inc.MRNA · Entity 127789 | Director · Chief Executive Officer | July 12, 2018 | July 16, 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.
Adhera Therapeutics, Inc.
Report date July 12, 2018 · Filed July 16, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series F Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.50 | IndirectSee footnote | 40 |
Reported balance
After 2018-07-12 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-07-12 · Purchase · Acquired 40 · Balance 40 F1: Each outstanding share of Series F 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 issuer's private placement of shares of its Series F Preferred Stock and warrants to purchase shares of its common stock (the "Offering") that the closing price of the Issuer's common stock on each of the trading 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 F Preferred Stock elect to convert all of the outstanding shares of Series F Preferred Stock. F2: The reporting person is the majority member and manager of the general partner of the entity that holds the applicable securities. In such position, the reporting person has the power to control the voting and disposition of the applicable securities. |
| Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.55 | IndirectSee footnote | 300,000 |
Reported balance
After 2018-07-12 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-07-12 · Purchase · Acquired 300,000 · Balance 300,000 F3: The warrants expire on the five year anniversary of the closing of the Offering. F2: The reporting person is the majority member and manager of the general partner of the entity that holds the applicable securities. In such position, the reporting person has the power to control the voting and disposition of the applicable securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Each outstanding share of Series F 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 issuer's private placement of shares of its Series F Preferred Stock and warrants to purchase shares of its common stock (the "Offering") that the closing price of the Issuer's common stock on each of the trading 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 F Preferred Stock elect to convert all of the outstanding shares of Series F Preferred Stock.
F2: The reporting person is the majority member and manager of the general partner of the entity that holds the applicable securities. In such position, the reporting person has the power to control the voting and disposition of the applicable securities.
F3: The warrants expire on the five year anniversary of the closing of the Offering.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Avalo Therapeutics, Inc.
Report date May 15, 2018 · Filed October 18, 2018
Jointly reported with LRS International, LLC
Section 16 reporting ended · disclosed 2018-10-18. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
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 |
|---|---|---|---|---|---|---|
| July 12, 2018 Filed Jul 16, 2018 20:00 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | PurchaseWarrants to Purchase Common Stock · Derivative | 300,000 | $0.00 Strike: $0.55 | $0.00 |
DisclosureSEC source: 0001493152-18-010074 · ownership.xml · derivative · entry 2 Moscato Robert Jr. · CIK 0001723420 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 300,000 Underlying: common stock · 300,000 shares Expires not disclosed F3 · derivative.expiration_date: The warrants expire on the five year anniversary of the closing of the Offering. F2 · ownership.nature: The reporting person is the majority member and manager of the general partner of the entity that holds the applicable securities. In such position, the reporting person has the power to control the voting and disposition of the applicable securities. Read SEC document |
| July 12, 2018 Filed Jul 16, 2018 20:00 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | PurchaseSeries F Convertible Preferred Stock · Derivative | 40 | $5,000.00 Strike: $0.50 | $200,000.00 |
DisclosureSEC source: 0001493152-18-010074 · ownership.xml · derivative · entry 1 Moscato Robert Jr. · CIK 0001723420 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 40 Underlying: common stock · 400,000 shares Expires not disclosed F1 · derivative.expiration_date: Each outstanding share of Series F 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 issuer's private placement of shares of its Series F Preferred Stock and warrants to purchase shares of its common stock (the "Offering") that the closing price of the Issuer's common stock on each of the trading 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 F Preferred Stock elect to convert all of the outstanding shares of Series F Preferred Stock. F2 · ownership.nature: The reporting person is the majority member and manager of the general partner of the entity that holds the applicable securities. In such position, the reporting person has the power to control the voting and disposition of the applicable securities. Read SEC document |
| July 10, 2018 Filed Jul 11, 2018 16:48 UTC | Adhera Therapeutics, Inc. MRNA · Entity 127789 | GrantOptions to purchase common stock · Derivative | 1,500,000 | $0.00 Strike: $0.66 | $0.00 |
DisclosureSEC source: 0001723420-18-000003 · primary_doc.xml · derivative · entry 1 Moscato Robert Jr. · CIK 0001723420 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,500,000 Underlying: common stock · 1,500,000 shares Expires 2028-07-10 F1 · derivative.exercise_date: Options to purchase 250,000 shares of common stock are exercisable immediately, options to purchase 250,000 shares of common stock are exercisable on each of July 10, 2019, July 10, 2020 and July 10, 2021, options to purchase 250,000 shares of common stock shall vest on such date (if any) that the Issuer determines that the reporting person has earned the "2018 Revenue Bonus" (as defined in the Employment Agreement dated June 18, 2018 between the Issuer and the reporting person (the "Employment Agreement")), and options to purchase 250,000 shares of common stock shall vest on such date (if any) that the Issuer determines that the reporting person has earned the "2018 Stock Price Bonus" (as defined in the Employment Agreement). Read SEC document |
| December 04, 2017 Filed Dec 8, 2017 00:15 UTC | Avalo Therapeutics, Inc. CERC · Entity 4936 | PurchaseShares of common stock | 285 | $1.77 | $504.45 |
DisclosureSEC source: 0001104659-17-072363 · a4.xml · nonDerivative · entry 1 Moscato Robert Jr. · CIK 0001723420 · Director · COO 10b5-1 filing: Not disclosed Ownership: Indirect · Family relationship Disclosed balance after: 2,592,743 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.