Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
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.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Ideal Power Inc.
Report date March 03, 2017 · Filed March 06, 2017
Section 16 reporting ended · disclosed 2017-03-06. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,233,177 |
Reported balance
After 2017-03-03 transaction · row 1
1 source rowRow 1 · 2017-03-03 · Purchase · Acquired 394,400 · Balance 1,233,177 F1: The reported securities are included within the securities purchased by the reporting person for $2.535 per share of common stock together with a warrant to purchase one share of common stock. |
| Common Stock WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $2.41 · Expires 2020-03-03 | Direct | 394,400 |
Reported balance
After 2017-03-03 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-03-03 · Purchase · Acquired 394,400 · Balance 394,400 F1: The reported securities are included within the securities purchased by the reporting person for $2.535 per share of common stock together with a warrant to purchase one share of common stock. F2: These warrants are not exercisable if as a result of such exercise the Reporting Person would beneficially own more than 9.99% of the issued and outstanding common stock of the Company (a "Blocker"). The transactions reported on this form also include the amendment of other outstanding warrants held by the Reporting Person to add a Blocker. Pursuant to Rule 16a-1(a)(1) of the Securities Exchange Act of 1934, as amended, the Reporting Person no longer beneficially owns the shares of common stock that are no longer exercisable as a result of the Blocker. Accordingly, the Reporting Person is no longer a 10% beneficial owner. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported securities are included within the securities purchased by the reporting person for $2.535 per share of common stock together with a warrant to purchase one share of common stock.
F2: These warrants are not exercisable if as a result of such exercise the Reporting Person would beneficially own more than 9.99% of the issued and outstanding common stock of the Company (a "Blocker"). The transactions reported on this form also include the amendment of other outstanding warrants held by the Reporting Person to add a Blocker. Pursuant to Rule 16a-1(a)(1) of the Securities Exchange Act of 1934, as amended, the Reporting Person no longer beneficially owns the shares of common stock that are no longer exercisable as a result of the Blocker. Accordingly, the Reporting Person is no longer a 10% beneficial owner.
Provention Bio, Inc.
Report date July 19, 2018 · Filed July 26, 2018
Section 16 reporting ended · disclosed 2018-07-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.0001 per shareSEC Table I · non-derivative | Direct | 1,950,000 |
Ending reported balance
After 2018-07-19 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2018-07-19 · Conversion · Acquired 1,200,000 · Balance 1,200,000 F1: The Series A Convertible Preferred Stock converted into Provention Bio, Inc. common stock on a 1-for-1 basis. Row 2 · 2018-07-19 · Purchase · Acquired 750,000 · Balance 1,950,000 F2: The securities were purchased pursuant to an underwritten public offering by the Issuer. The offering closed on July 19, 2018. |
Filing footnotes · ownership attribution and instrument terms
F1: The Series A Convertible Preferred Stock converted into Provention Bio, Inc. common stock on a 1-for-1 basis.
F2: The securities were purchased pursuant to an underwritten public offering by the Issuer. The offering closed on July 19, 2018.
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 19, 2018 Filed Jul 26, 2018 16:50 UTC | Provention Bio, Inc. PRVB · Entity 12101 | PurchaseCommon Stock, par value $0.0001 per share | 750,000 | $4.00 | $3,000,000.00 |
DisclosureSEC source: 0001140361-18-033671 · doc1.xml · nonDerivative · entry 2 APPEL PETER A · CIK 0001227104 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,950,000 F2 · kind: The securities were purchased pursuant to an underwritten public offering by the Issuer. The offering closed on July 19, 2018. Read SEC document |
| July 19, 2018 Filed Jul 26, 2018 16:50 UTC | Provention Bio, Inc. PRVB · Entity 12101 | ConversionCommon Stock, par value $0.0001 per share | 1,200,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-18-033671 · doc1.xml · nonDerivative · entry 1 APPEL PETER A · CIK 0001227104 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,200,000 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 · price: The Series A Convertible Preferred Stock converted into Provention Bio, Inc. common stock on a 1-for-1 basis. Read SEC document |
| March 03, 2017 Filed Mar 6, 2017 16:30 UTC | Ideal Power Inc. IPWR · Entity 6940 | PurchaseCommon Stock Warrants · Derivative | 394,400 | $2.54 Strike: $2.41 | $999,804.00 |
DisclosureSEC source: 0001144204-17-012974 · v461159_4.xml · derivative · entry 2 APPEL PETER A · CIK 0001227104 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 394,400 Underlying: Common Stock · 394,400 shares Expires 2020-03-03 F1 · price: The reported securities are included within the securities purchased by the reporting person for $2.535 per share of common stock together with a warrant to purchase one share of common stock. F2 · derivative.exercise_date: These warrants are not exercisable if as a result of such exercise the Reporting Person would beneficially own more than 9.99% of the issued and outstanding common stock of the Company (a "Blocker"). The transactions reported on this form also include the amendment of other outstanding warrants held by the Reporting Person to add a Blocker. Pursuant to Rule 16a-1(a)(1) of the Securities Exchange Act of 1934, as amended, the Reporting Person no longer beneficially owns the shares of common stock that are no longer exercisable as a result of the Blocker. Accordingly, the Reporting Person is no longer a 10% beneficial owner. Read SEC document |
| March 03, 2017 Filed Mar 6, 2017 16:30 UTC | Ideal Power Inc. IPWR · Entity 6940 | PurchaseCommon Stock | 394,400 | $2.54 | $999,804.00 |
DisclosureSEC source: 0001144204-17-012974 · v461159_4.xml · nonDerivative · entry 1 APPEL PETER A · CIK 0001227104 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,233,177 F1 · price: The reported securities are included within the securities purchased by the reporting person for $2.535 per share of common stock together with a warrant to purchase one share of common stock. 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.