Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BRISTOL MYERS SQUIBB COBMY · Entity 1662 | SVP, Business Development | March 10, 2014 | March 12, 2014 |
| Larimar Therapeutics, Inc.ZFGN · Entity 5634 | Director | October 13, 2017 | October 17, 2017 |
| Monterey Innovation Acquisition CorpMTRY · Entity 114547 | Director | September 30, 2021 | September 30, 2021 |
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.
BRISTOL MYERS SQUIBB CO
Report date March 10, 2014 · Filed March 12, 2014
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.10 par valueSEC Table I · non-derivative | Direct | 4,174 |
Ending reported balance
After 2014-03-10 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2014-03-10 · Exercise / conversion · Acquired 1,609 · Balance 4,402 F1: Represents vesting of one-quarter of market share units granted on March 10, 2013. Row 2 · 2014-03-10 · Other · Acquired 730 · Balance 5,132 F2: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor. Row 3 · 2014-03-10 · Tax withholding · Disposed 958 · Balance 4,174 F3: Shares withheld for payment of taxes upon vesting of awards. |
| Market Share UnitsSEC Table II · derivative / convertible security · Expires 2017-03-10 | Direct | 4,829 |
Reported balance
After 2014-03-10 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2014-03-10 · Exercise / conversion · Disposed 1,609 · Balance 4,829 F4: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%. F1: Represents vesting of one-quarter of market share units granted on March 10, 2013. |
| Market Share UnitsSEC Table II · derivative / convertible security · Expires 2018-03-10 | Direct | 5,109 |
Reported balance
After 2014-03-10 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2014-03-10 · Grant · Acquired 5,109 · Balance 5,109 F4: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%. F5: Twenty-five percent of the market share unit award will vest on each of the first, second, third and fourth anniversaries of the grant date. |
| Common Stock, $0.10 par valueSEC Table I · non-derivative | IndirectBy BMY Savings & Investment Program | 44.34 |
Reported balance
Holding disclosure · report date 2014-03-10 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 44.34 |
Filing footnotes · ownership attribution and instrument terms
F1: Represents vesting of one-quarter of market share units granted on March 10, 2013.
F2: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor.
F3: Shares withheld for payment of taxes upon vesting of awards.
F4: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%.
F5: Twenty-five percent of the market share unit award will vest on each of the first, second, third and fourth anniversaries of the grant date.
Larimar Therapeutics, Inc.
Report date October 13, 2017 · Filed October 17, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 47,961 |
Reported balance
After 2017-10-13 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2017-10-13 · Purchase · Acquired 10,000 · Balance 47,961 F1: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.8645 to $3.92, inclusive. The reporting person undertakes to provide to Zafgen, Inc., any security holder of Zafgen, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein. F2: Total number of shares includes 7,961 shares of Common Stock acquired by the Reporting Person on December 31, 2012 that were not previously reported. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.8645 to $3.92, inclusive. The reporting person undertakes to provide to Zafgen, Inc., any security holder of Zafgen, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein.
F2: Total number of shares includes 7,961 shares of Common Stock acquired by the Reporting Person on December 31, 2012 that were not previously reported.
Monterey Innovation Acquisition Corp
Report date September 30, 2021 · Filed September 30, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 35,000 |
Reported balance
Holding disclosure · report date 2021-09-30 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 35,000 |
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 |
|---|---|---|---|---|---|---|
| October 13, 2017 Filed Oct 17, 2017 17:11 UTC | Larimar Therapeutics, Inc. ZFGN · Entity 5634 | PurchaseCommon Stock | 10,000 | $3.90 | $38,988.00 |
DisclosureSEC source: 0000899243-17-024381 · doc4.xml · nonDerivative · entry 1 Heller Frances K · CIK 0001441724 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,961 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.8645 to $3.92, inclusive. The reporting person undertakes to provide to Zafgen, Inc., any security holder of Zafgen, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein. F2 · balance_after: Total number of shares includes 7,961 shares of Common Stock acquired by the Reporting Person on December 31, 2012 that were not previously reported. Read SEC document |
| June 21, 2017 Filed Jun 23, 2017 16:07 UTC | Larimar Therapeutics, Inc. ZFGN · Entity 5634 | GrantStock Option (Right to Buy) · Derivative | 14,500 | $0.00 Strike: $3.95 | $0.00 |
DisclosureSEC source: 0000899243-17-017070 · doc4.xml · derivative · entry 1 Heller Frances K · CIK 0001441724 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,500 Underlying: Common Stock · 14,500 shares Expires 2027-06-21 F1 · derivative.exercise_date: These options were issued under the nonemployee director compensation policy and will vest in full upon the earlier of June 21, 2018 or the date of the 2018 annual meeting of stockholders, subject to the director's continued service on the board of directors. Read SEC document |
| December 19, 2016 Filed Dec 20, 2016 17:02 UTC | Larimar Therapeutics, Inc. ZFGN · Entity 5634 | PurchaseCommon Stock | 10,000 | $3.23 | $32,290.00 |
DisclosureSEC source: 0000899243-16-036035 · doc4.xml · nonDerivative · entry 1 Heller Frances K · CIK 0001441724 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $3.20 to $3.24, inclusive. The reporting person undertakes to provide to Zafgen, Inc., any security holder of Zafgen, Inc., or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of share purchases at each separate price within the ranges set forth herein. Read SEC document |
| November 15, 2016 Filed Nov 17, 2016 17:00 UTC | Larimar Therapeutics, Inc. ZFGN · Entity 5634 | PurchaseCommon Stock | 10,000 | $3.54 | $35,434.00 |
DisclosureSEC source: 0000899243-16-033799 · doc4.xml · nonDerivative · entry 1 Heller Frances K · CIK 0001441724 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $3.53 to $3.56, inclusive. The reporting person undertakes to provide to Zafgen, Inc., any security holder of Zafgen, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein. Read SEC document |
| March 10, 2014 Filed Mar 12, 2014 20:52 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | GrantMarket Share Units · Derivative | 5,109 | $0.00 | $0.00 |
DisclosureSEC source: 0000014272-14-000142 · wf-form4_139465753285895.xml · derivative · entry 6 Heller Frances K · CIK 0001441724 · SVP, Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,109 Underlying: Common Stock, $0.10 par value · 5,109 shares Expires 2018-03-10 F4 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%. F5 · derivative.exercise_date: Twenty-five percent of the market share unit award will vest on each of the first, second, third and fourth anniversaries of the grant date. F5 · derivative.expiration_date: Twenty-five percent of the market share unit award will vest on each of the first, second, third and fourth anniversaries of the grant date. Read SEC document |
| March 10, 2014 Filed Mar 12, 2014 20:52 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionMarket Share Units · Derivative | 1,609 | $0.00 | $0.00 |
DisclosureSEC source: 0000014272-14-000142 · wf-form4_139465753285895.xml · derivative · entry 5 Heller Frances K · CIK 0001441724 · SVP, Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,829 Underlying: Common Stock, $0.10 par value · 1,609 shares Expires 2017-03-10 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. F4 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%. F1 · derivative.exercise_date: Represents vesting of one-quarter of market share units granted on March 10, 2013. F1 · derivative.expiration_date: Represents vesting of one-quarter of market share units granted on March 10, 2013. Read SEC document |
| March 10, 2014 Filed Mar 12, 2014 20:52 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Tax withholdingCommon Stock, $0.10 par value | 958 | $56.14 | $53,782.12 |
DisclosureSEC source: 0000014272-14-000142 · wf-form4_139465753285895.xml · nonDerivative · entry 3 Heller Frances K · CIK 0001441724 · SVP, Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,174 F3 · shares: Shares withheld for payment of taxes upon vesting of awards. Read SEC document |
| March 10, 2014 Filed Mar 12, 2014 20:52 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | OtherCommon Stock, $0.10 par value | 730 | $0.00 | $0.00 |
DisclosureSEC source: 0000014272-14-000142 · wf-form4_139465753285895.xml · nonDerivative · entry 2 Heller Frances K · CIK 0001441724 · SVP, Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,132 F2 · shares: Adjustment reflects additional shares acquired upon the vesting of market share units due to the performance factor. Read SEC document |
| March 10, 2014 Filed Mar 12, 2014 20:52 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionCommon Stock, $0.10 par value | 1,609 | $0.00 | $0.00 |
DisclosureSEC source: 0000014272-14-000142 · wf-form4_139465753285895.xml · nonDerivative · entry 1 Heller Frances K · CIK 0001441724 · SVP, Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,402 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: Represents vesting of one-quarter of market share units granted on March 10, 2013. Read SEC document |
| March 03, 2014 Filed Mar 5, 2014 21:38 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | OtherPerformance Shares · Derivative | 101.9476 | $0.00 | $0.00 |
DisclosureSEC source: 0000014272-14-000089 · wf-form4_139405548388864.xml · derivative · entry 4 Heller Frances K · CIK 0001441724 · SVP, Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,369.9476 Underlying: Common Stock, $0.10 par value · 101.9476 shares Expires 2016-03-31 F4 · derivative.exercise_price: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2016. F5 · shares: Represents dividend equivalents earned under the 2013-2015 Long-Term Performance Award. F4 · derivative.exercise_date: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2016. F4 · derivative.expiration_date: Each dividend equivalent converts into one share of common stock upon distribution in the first quarter of 2016. Read SEC document |
| March 03, 2014 Filed Mar 5, 2014 21:38 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | GrantPerformance Shares · Derivative | 3,268 | $0.00 | $0.00 |
DisclosureSEC source: 0000014272-14-000089 · wf-form4_139405548388864.xml · derivative · entry 3 Heller Frances K · CIK 0001441724 · SVP, Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,268 Underlying: Common Stock, $0.10 par value · 3,268 shares Expires 2016-03-31 F2 · derivative.exercise_price: Each performance share converts into one share of common stock upon distribution in the first quarter of 2016. F3 · shares: Represents performance shares earned under the 2013-2015 Long-Term Performance Award. F2 · derivative.exercise_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2016. F2 · derivative.expiration_date: Each performance share converts into one share of common stock upon distribution in the first quarter of 2016. F2 · derivative.underlying: Each performance share converts into one share of common stock upon distribution in the first quarter of 2016. Read SEC document |
| October 01, 2013 Filed Oct 2, 2013 20:23 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionRestricted Stock Units · Derivative | 4,451 | $0.00 | $0.00 |
DisclosureSEC source: 0000014272-13-000019 · wf-form4_138074542901404.xml · derivative · entry 4 Heller Frances K · CIK 0001441724 · SVP, Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,355 Underlying: Common Stock, $0.10 par value · 4,451 shares Expires not disclosed 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_price: Each restricted stock unit converts into one share of common stock upon vesting. F4 · derivative.exercise_date: Represents vesting of one quarter of restricted stock units granted on October 1, 2012. The balance of the award is scheduled to vest in three equal installments on the second, third and fourth anniversaries of the grant date. F4 · derivative.expiration_date: Represents vesting of one quarter of restricted stock units granted on October 1, 2012. The balance of the award is scheduled to vest in three equal installments on the second, third and fourth anniversaries of the grant date. Read SEC document |
| October 01, 2013 Filed Oct 2, 2013 20:23 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Tax withholdingCommon Stock, $0.10 par value | 1,658 | $47.24 | $78,323.92 |
DisclosureSEC source: 0000014272-13-000019 · wf-form4_138074542901404.xml · nonDerivative · entry 2 Heller Frances K · CIK 0001441724 · SVP, Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,793 F1 · shares: Shares withheld for payment of taxes upon vesting of resticted stock units. Read SEC document |
| October 01, 2013 Filed Oct 2, 2013 20:23 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | Exercise / conversionCommon Stock, $0.10 par value | 4,451 | $0.00 | $0.00 |
DisclosureSEC source: 0000014272-13-000019 · wf-form4_138074542901404.xml · nonDerivative · entry 1 Heller Frances K · CIK 0001441724 · SVP, Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,451 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 |
| March 10, 2013 Filed Mar 11, 2013 21:15 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | GrantMarket Share Units · Derivative | 6,438 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-007268 · doc4.xml · derivative · entry 1 Heller Frances K · CIK 0001441724 · SVP, Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,438 Underlying: Common Stock, $0.10 par value · 6,438 shares Expires 2017-03-10 F1 · derivative.exercise_price: Each market share unit converts into the number of shares of common stock determined by applying a payout factor to the target number of shares vesting on a given date. The payout factor is a ratio of the average of the closing price on the measurement date plus the nine prior trading days divided by the average stock price on the grant date (also a 10-day average). The minimum payout factor that must be achieved to earn a payout is 60% and the maximum payout factor is 200%. F2 · derivative.exercise_date: Twenty-five percent of the market share unit award will vest on each of the first, second, third and fourth anniversaries of the grant date. F2 · derivative.expiration_date: Twenty-five percent of the market share unit award will vest on each of the first, second, third and fourth anniversaries of the grant date. Read SEC document |
| October 01, 2012 Filed Oct 3, 2012 20:17 UTC | BRISTOL MYERS SQUIBB CO BMY · Entity 1662 | GrantRestricted Stock Units · Derivative | 17,806 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-020839 · doc4.xml · derivative · entry 1 Heller Frances K · CIK 0001441724 · SVP, Business Development 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,806 Underlying: Common Stock, $0.10 par value · 17,806 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit converts into one share of common stock upon vesting. F2 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning on October 1, 2013. F2 · derivative.expiration_date: The restricted stock units vest in four equal annual installments beginning on October 1, 2013. 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.