Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Neurogene Inc.AQXP · Entity 5160 | Director · President and CEO | August 07, 2018 | August 09, 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.
Neurogene Inc.
Report date August 07, 2018 · Filed August 09, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.07 · Expires 2028-08-06 | Direct | 415,000 |
Reported balance
After 2018-08-07 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-08-07 · Grant · Acquired 415,000 · Balance 415,000 F1: The shares subject to this option shall vest and become exercisable at a rate of twenty-five percent of the total number of shares underlying the options on the one-year anniversary of August 7, 2018 (the "Vesting Commencement Date") and 1/48th of the total number of shares underlying the options each monthly anniversary of the Vesting Commencement Date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the four-year anniversary of the Vesting Commencement Date. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to this option shall vest and become exercisable at a rate of twenty-five percent of the total number of shares underlying the options on the one-year anniversary of August 7, 2018 (the "Vesting Commencement Date") and 1/48th of the total number of shares underlying the options each monthly anniversary of the Vesting Commencement Date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the four-year anniversary of the Vesting Commencement 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 |
|---|---|---|---|---|---|---|
| August 07, 2018 Filed Aug 9, 2018 23:07 UTC | Neurogene Inc. AQXP · Entity 5160 | GrantStock Option (Right to Buy) · Derivative | 415,000 | $0.00 Strike: $3.07 | $0.00 |
DisclosureSEC source: 0001209191-18-046098 · doc4.xml · derivative · entry 1 Main David · CIK 0001599941 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 415,000 Underlying: Common Stock · 415,000 shares Expires 2028-08-06 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of twenty-five percent of the total number of shares underlying the options on the one-year anniversary of August 7, 2018 (the "Vesting Commencement Date") and 1/48th of the total number of shares underlying the options each monthly anniversary of the Vesting Commencement Date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the four-year anniversary of the Vesting Commencement Date. Read SEC document |
| March 09, 2018 Filed Mar 13, 2018 20:56 UTC | Neurogene Inc. AQXP · Entity 5160 | GrantStock Option (Right to Buy) · Derivative | 225,000 | $0.00 Strike: $16.55 | $0.00 |
DisclosureSEC source: 0001209191-18-019259 · doc4.xml · derivative · entry 1 Main David · CIK 0001599941 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,000 Underlying: Common Stock · 225,000 shares Expires 2028-03-08 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of twenty-five percent of the total number of shares underlying the options on the one-year anniversary of March 9, 2018 (the "Vesting Commencement Date") and 1/48th of the total number of shares underlying the options each monthly anniversary of the vesting commencement date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the four-year anniversary of the vesting commencement date. Read SEC document |
| June 05, 2017 Filed Jun 5, 2017 23:00 UTC | Neurogene Inc. AQXP · Entity 5160 | Exercise / conversionStock Option (Right to Buy) · Derivative | 3,625 | $0.00 Strike: $9.60 | $0.00 |
DisclosureSEC source: 0001209191-17-037966 · doc4.xml · derivative · entry 9 Main David · CIK 0001599941 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,625 shares Expires 2017-06-07 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. F6 · derivative.exercise_date: The option is fully vested. Read SEC document |
| June 05, 2017 Filed Jun 5, 2017 23:00 UTC | Neurogene Inc. AQXP · Entity 5160 | SaleCommon Stock | 3,625 | $13.16 | $47,695.94 |
DisclosureSEC source: 0001209191-17-037966 · doc4.xml · nonDerivative · entry 6 Main David · CIK 0001599941 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,530 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 15, 2017. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.04 to $13.26, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set in this footnote. Read SEC document |
| June 05, 2017 Filed Jun 5, 2017 23:00 UTC | Neurogene Inc. AQXP · Entity 5160 | Exercise / conversionCommon Stock | 3,625 | $9.60 | $34,800.00 |
DisclosureSEC source: 0001209191-17-037966 · doc4.xml · nonDerivative · entry 5 Main David · CIK 0001599941 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,155 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 · shares: The exercise of options reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 15, 2017. Read SEC document |
| June 02, 2017 Filed Jun 5, 2017 23:00 UTC | Neurogene Inc. AQXP · Entity 5160 | Exercise / conversionStock Option (Right to Buy( · Derivative | 6,000 | $0.00 Strike: $9.60 | $0.00 |
DisclosureSEC source: 0001209191-17-037966 · doc4.xml · derivative · entry 8 Main David · CIK 0001599941 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,625 Underlying: Common Stock · 6,000 shares Expires 2017-06-07 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. F6 · derivative.exercise_date: The option is fully vested. Read SEC document |
| June 02, 2017 Filed Jun 5, 2017 23:00 UTC | Neurogene Inc. AQXP · Entity 5160 | SaleCommon Stock | 6,000 | $13.59 | $81,559.80 |
DisclosureSEC source: 0001209191-17-037966 · doc4.xml · nonDerivative · entry 4 Main David · CIK 0001599941 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,530 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 15, 2017. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.45 to $13.67, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set in this footnote. Read SEC document |
| June 02, 2017 Filed Jun 5, 2017 23:00 UTC | Neurogene Inc. AQXP · Entity 5160 | Exercise / conversionCommon Stock | 6,000 | $9.60 | $57,600.00 |
DisclosureSEC source: 0001209191-17-037966 · doc4.xml · nonDerivative · entry 3 Main David · CIK 0001599941 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,530 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 · shares: The exercise of options reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 15, 2017. Read SEC document |
| June 01, 2017 Filed Jun 5, 2017 23:00 UTC | Neurogene Inc. AQXP · Entity 5160 | Exercise / conversionStock Option (Right to Buy) · Derivative | 6,000 | $0.00 Strike: $9.60 | $0.00 |
DisclosureSEC source: 0001209191-17-037966 · doc4.xml · derivative · entry 7 Main David · CIK 0001599941 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,625 Underlying: Common Stock · 6,000 shares Expires 2017-06-07 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. F6 · derivative.exercise_date: The option is fully vested. Read SEC document |
| June 01, 2017 Filed Jun 5, 2017 23:00 UTC | Neurogene Inc. AQXP · Entity 5160 | SaleCommon Stock | 6,000 | $13.00 | $77,988.00 |
DisclosureSEC source: 0001209191-17-037966 · doc4.xml · nonDerivative · entry 2 Main David · CIK 0001599941 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,530 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 15, 2017. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.82 to $13.20, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set in this footnote. Read SEC document |
| June 01, 2017 Filed Jun 5, 2017 23:00 UTC | Neurogene Inc. AQXP · Entity 5160 | Exercise / conversionCommon Stock | 6,000 | $9.60 | $57,600.00 |
DisclosureSEC source: 0001209191-17-037966 · doc4.xml · nonDerivative · entry 1 Main David · CIK 0001599941 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,530 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 · shares: The exercise of options reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 15, 2017. Read SEC document |
| March 08, 2017 Filed Mar 11, 2017 02:16 UTC | Neurogene Inc. AQXP · Entity 5160 | GrantStock Option (Right to Buy) · Derivative | 185,000 | $0.00 Strike: $17.35 | $0.00 |
DisclosureSEC source: 0001209191-17-020011 · doc4.xml · derivative · entry 1 Main David · CIK 0001599941 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 185,000 Underlying: Common Stock · 185,000 shares Expires 2027-03-07 F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of twenty-five percent of the total number of shares underlying the options on the one-year anniversary of March 8, 2017 (the "Vesting Commencement Date") and 1/48th of the total number of shares underlying the options each monthly anniversary of the vesting commencement date thereafter for so long as the recipient of the option provides continuous service to the issuer, such that the total number of shares underlying the options shall be fully vested on the four-year anniversary of the vesting commencement 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.