Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PULSE BIOSCIENCES, INC.PLSE · Entity 1151 | Director | May 16, 2017 | May 18, 2017 |
| Vivani Medical, Inc.EYES · Entity 6636 | Director · Chairman of Board | January 04, 2018 | January 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.
PULSE BIOSCIENCES, INC.
Report date May 16, 2017 · Filed May 18, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $27.14 · Expires 2027-05-16 | Direct | 15,000 |
Reported balance
After 2017-05-16 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-05-16 · Grant · Acquired 15,000 · Balance 15,000 F1: The shares subject to the option will vest in equal monthly installments over a one year period that will begin on June 1, 2017, subject to the Reporting Person's continued service through each vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to the option will vest in equal monthly installments over a one year period that will begin on June 1, 2017, subject to the Reporting Person's continued service through each vesting date.
Vivani Medical, Inc.
Report date January 04, 2018 · Filed January 09, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.06 · Expires 2028-01-04 | Direct | 140,000 |
Reported balance
After 2018-01-04 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-01-04 · Grant · Acquired 140,000 · Balance 140,000 F4: Not Applicable F1: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of January 4, 2018 (the "Vesting Commencement Date") and 6.25% of the total number of shares shall vest each quarterly anniversary of the Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the Vesting Commencement Date. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.97 · Expires 2027-01-03 | Direct | 256,410 |
Reported balance
Holding disclosure · report date 2018-01-04 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 256,410 F2: Options vest over a four year term of which one-fourth vests on the Date Exercisable, with the remaining options vesting quarterly over three years thereafter. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.10 · Expires 2026-01-21 | Direct | 57,563 |
Reported balance
Holding disclosure · report date 2018-01-04 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 57,563 F2: Options vest over a four year term of which one-fourth vests on the Date Exercisable, with the remaining options vesting quarterly over three years thereafter. |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.00 · Expires 2018-02-01 | Direct | 23,750 |
Reported balance
Holding disclosure · report date 2018-01-04 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 23,750 F3: Options vest in 4 yearly increments starting with the Date Exercisable |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.00 · Expires 2018-11-01 | Direct | 150,000 |
Reported balance
Holding disclosure · report date 2018-01-04 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 150,000 F3: Options vest in 4 yearly increments starting with the Date Exercisable |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.00 · Expires 2019-02-01 | Direct | 33,750 |
Reported balance
Holding disclosure · report date 2018-01-04 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 33,750 F3: Options vest in 4 yearly increments starting with the Date Exercisable |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.00 · Expires 2020-02-01 | Direct | 103,750 |
Reported balance
Holding disclosure · report date 2018-01-04 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance 103,750 F3: Options vest in 4 yearly increments starting with the Date Exercisable |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.00 · Expires 2021-03-01 | Direct | 41,563 |
Reported balance
Holding disclosure · report date 2018-01-04 · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · Balance 41,563 F3: Options vest in 4 yearly increments starting with the Date Exercisable |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.00 · Expires 2022-03-01 | Direct | 38,750 |
Reported balance
Holding disclosure · report date 2018-01-04 · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · Balance 38,750 F3: Options vest in 4 yearly increments starting with the Date Exercisable |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.00 · Expires 2024-04-01 | Direct | 46,875 |
Reported balance
Holding disclosure · report date 2018-01-04 · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · Balance 46,875 F3: Options vest in 4 yearly increments starting with the Date Exercisable |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.00 · Expires 2024-09-26 | Direct | 414,659 |
Reported balance
Holding disclosure · report date 2018-01-04 · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · Balance 414,659 F3: Options vest in 4 yearly increments starting with the Date Exercisable |
| Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.09 · Expires 2025-03-25 | Direct | 31,250 |
Reported balance
Holding disclosure · report date 2018-01-04 · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · Balance 31,250 F3: Options vest in 4 yearly increments starting with the Date Exercisable |
| Common StockSEC Table I · non-derivative | Direct | 172,911 |
Reported balance
Holding disclosure · report date 2018-01-04 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 172,911 |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of January 4, 2018 (the "Vesting Commencement Date") and 6.25% of the total number of shares shall vest each quarterly anniversary of the Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the Vesting Commencement Date.
F2: Options vest over a four year term of which one-fourth vests on the Date Exercisable, with the remaining options vesting quarterly over three years thereafter.
F3: Options vest in 4 yearly increments starting with the Date Exercisable
F4: Not Applicable
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 04, 2018 Filed Jan 9, 2018 00:36 UTC | Vivani Medical, Inc. EYES · Entity 6636 | GrantNon-Qualified Stock Option (right to buy) · Derivative | 140,000 | Not disclosed Strike: $2.06 | Not disclosed |
DisclosureSEC source: 0001615774-18-000198 · s108663_form4.xml · derivative · entry 2 Greenberg Robert J. · CIK 0001625594 · Director · Chairman of Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,000 Underlying: Common Stock · 140,000 shares Expires 2028-01-04 F4 · price: Not Applicable F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of January 4, 2018 (the "Vesting Commencement Date") and 6.25% of the total number of shares shall vest each quarterly anniversary of the Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the Vesting Commencement Date. Read SEC document |
| June 05, 2017 Filed Jun 7, 2017 21:02 UTC | Vivani Medical, Inc. EYES · Entity 6636 | GrantCommon Stock | 13,090 | $1.13 | $14,791.70 |
DisclosureSEC source: 0001615774-17-003028 · s106456_form4.xml · nonDerivative · entry 2 Greenberg Robert J. · CIK 0001625594 · Director · Chairman of Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,911 F1 · balance_after: 13,090 shares, acquired as part of scheduled ESPP purchases, were sold on 6/5/2017. Read SEC document |
| May 31, 2017 Filed Jun 7, 2017 21:02 UTC | Vivani Medical, Inc. EYES · Entity 6636 | GrantCommon Stock | 13,090 | $0.98 | $12,802.02 |
DisclosureSEC source: 0001615774-17-003028 · s106456_form4.xml · nonDerivative · entry 1 Greenberg Robert J. · CIK 0001625594 · Director · Chairman of Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,001 F1 · balance_after: 13,090 shares, acquired as part of scheduled ESPP purchases, were sold on 6/5/2017. Read SEC document |
| May 16, 2017 Filed May 18, 2017 20:05 UTC | PULSE BIOSCIENCES, INC. PLSE · Entity 1151 | GrantStock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $27.14 | $0.00 |
DisclosureSEC source: 0001209191-17-033568 · doc4.xml · derivative · entry 1 Greenberg Robert J. · CIK 0001625594 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2027-05-16 F1 · derivative.exercise_date: The shares subject to the option will vest in equal monthly installments over a one year period that will begin on June 1, 2017, subject to the Reporting Person's continued service through each vesting date. Read SEC document |
| May 10, 2017 Filed May 10, 2017 23:55 UTC | PULSE BIOSCIENCES, INC. PLSE · Entity 1151 | Exercise / conversionStock Option (right to buy) · Derivative | 25,000 | $0.00 Strike: $2.67 | $0.00 |
DisclosureSEC source: 0001209191-17-031418 · doc4.xml · derivative · entry 4 Greenberg Robert J. · CIK 0001625594 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,655 Underlying: Common Stock · 25,000 shares Expires 2020-06-01 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_date: The shares subject to the option will vest in equal quarterly installments over a three year period that commenced on June 1, 2015 and will end on Marcn 1, 2018, subject to the Reporting Person's continued service through each vesting date. Read SEC document |
| May 10, 2017 Filed May 10, 2017 23:55 UTC | PULSE BIOSCIENCES, INC. PLSE · Entity 1151 | SaleCommon Stock | 2,820 | $21.87 | $61,664.94 |
DisclosureSEC source: 0001209191-17-031418 · doc4.xml · nonDerivative · entry 3 Greenberg Robert J. · CIK 0001625594 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · price: This is the weighted average purchase price of the shares, which ranged from $21.77 to $21.96 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares purchased at each separate price within the range set forth in this Form 4. Read SEC document |
| May 10, 2017 Filed May 10, 2017 23:55 UTC | PULSE BIOSCIENCES, INC. PLSE · Entity 1151 | SaleCommon Stock | 22,180 | $21.03 | $466,445.40 |
DisclosureSEC source: 0001209191-17-031418 · doc4.xml · nonDerivative · entry 2 Greenberg Robert J. · CIK 0001625594 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,820 F1 · price: This is the weighted average purchase price of the shares, which ranged from $20.62 to $21.57 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares purchased at each separate price within the range set forth in this Form 4. Read SEC document |
| May 10, 2017 Filed May 10, 2017 23:55 UTC | PULSE BIOSCIENCES, INC. PLSE · Entity 1151 | Exercise / conversionCommon Stock | 25,000 | $2.67 | $66,750.00 |
DisclosureSEC source: 0001209191-17-031418 · doc4.xml · nonDerivative · entry 1 Greenberg Robert J. · CIK 0001625594 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 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. Read SEC document |
| January 03, 2017 Filed Jan 6, 2017 01:04 UTC | Vivani Medical, Inc. EYES · Entity 6636 | GrantNon-Qualified Stock Option (right to buy) · Derivative | 256,410 | Not disclosed Strike: $1.97 | Not disclosed |
DisclosureSEC source: 0001615774-17-000044 · s105060_form4.xml · derivative · entry 2 Greenberg Robert J. · CIK 0001625594 · Director · Chairman of Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 256,410 Underlying: Common Stock · 256,410 shares Expires 2027-01-03 F1 · shares: Options to purchase 256,410 shares of the Company's common stock were granted to Dr. Greenberg under the Company's 2011 Equity Incentive Plan. F5 · price: Not Applicable F2 · derivative.exercise_date: Options vest over a four year term of which one-fourth vests on the Date Exercisable, with the remaining options vesting quarterly over three years thereafter. Read SEC document |
| December 01, 2016 Filed Dec 3, 2016 00:25 UTC | Vivani Medical, Inc. EYES · Entity 6636 | SaleCommon Stock | 1,950 | $1.96 | $3,822.00 |
DisclosureSEC source: 0001615774-16-008701 · s104839_form4.xml · nonDerivative · entry 1 Greenberg Robert J. · CIK 0001625594 · Director · Chairman of Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,911 F1 · shares: 1,950 shares, acquired as part of scheduled ESPP purchases, were sold on 12/01/2016 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.