Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Lipocine Inc.LPCN · Entity 7696 | Chief Commercial Officer | December 29, 2017 | January 02, 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.
Lipocine Inc.
Report date December 29, 2017 · Filed January 02, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 9,375 |
Reported balance
After 2017-12-29 transaction · row 1
1 source rowRow 1 · 2017-12-29 · Exercise / conversion · Acquired 9,375 · Balance 9,375 F1: Represents shares of Lipocine Inc. common stock ("LPCN Common Stock") acquired upon the vesting of restricted stock units (see footnote 4). |
| Common stockSEC Table I · non-derivative | Direct | 5,625 |
Reported balance
After 2017-12-29 transaction · row 2
1 source rowRow 2 · 2017-12-29 · Sale · Disposed 3,750 · Balance 5,625 F2: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F3: Represents the weighted average price of shares sold at a price that ranged from $3.43-$3.54. |
| Restricted Stock UnitSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2027-01-25 | Direct | 28,125 |
Reported balance
After 2017-12-29 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-12-29 · Exercise / conversion · Disposed 9,375 · Balance 28,125 F4: Subject to vesting whereby 1/4 of the shares subject to the award will vest on December 29, 2017 and the remaining 3/4 of the shares subject to the award will vest on the receipt by the Company of FDA approval of LPCN 1021. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of Lipocine Inc. common stock ("LPCN Common Stock") acquired upon the vesting of restricted stock units (see footnote 4).
F2: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
F3: Represents the weighted average price of shares sold at a price that ranged from $3.43-$3.54.
F4: Subject to vesting whereby 1/4 of the shares subject to the award will vest on December 29, 2017 and the remaining 3/4 of the shares subject to the award will vest on the receipt by the Company of FDA approval of LPCN 1021.
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 |
|---|---|---|---|---|---|---|
| December 29, 2017 Filed Jan 2, 2018 23:16 UTC | Lipocine Inc. LPCN · Entity 7696 | Exercise / conversionRestricted Stock Unit · Derivative | 9,375 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001638599-18-000030 · doc4_5170.xml · derivative · entry 3 Bass Gregory Brooks · CIK 0001696824 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,125 Underlying: Common stock · 9,375 shares Expires 2027-01-25 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_date: Subject to vesting whereby 1/4 of the shares subject to the award will vest on December 29, 2017 and the remaining 3/4 of the shares subject to the award will vest on the receipt by the Company of FDA approval of LPCN 1021. F4 · derivative.expiration_date: Subject to vesting whereby 1/4 of the shares subject to the award will vest on December 29, 2017 and the remaining 3/4 of the shares subject to the award will vest on the receipt by the Company of FDA approval of LPCN 1021. Read SEC document |
| December 29, 2017 Filed Jan 2, 2018 23:16 UTC | Lipocine Inc. LPCN · Entity 7696 | SaleCommon stock | 3,750 | $3.47 | $13,023.38 |
DisclosureSEC source: 0001638599-18-000030 · doc4_5170.xml · nonDerivative · entry 2 Bass Gregory Brooks · CIK 0001696824 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,625 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan. F3 · price: Represents the weighted average price of shares sold at a price that ranged from $3.43-$3.54. Read SEC document |
| December 29, 2017 Filed Jan 2, 2018 23:16 UTC | Lipocine Inc. LPCN · Entity 7696 | Exercise / conversionCommon Stock | 9,375 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-18-000030 · doc4_5170.xml · nonDerivative · entry 1 Bass Gregory Brooks · CIK 0001696824 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,375 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 · kind: Represents shares of Lipocine Inc. common stock ("LPCN Common Stock") acquired upon the vesting of restricted stock units (see footnote 4). F1 · shares: Represents shares of Lipocine Inc. common stock ("LPCN Common Stock") acquired upon the vesting of restricted stock units (see footnote 4). F1 · price: Represents shares of Lipocine Inc. common stock ("LPCN Common Stock") acquired upon the vesting of restricted stock units (see footnote 4). Read SEC document |
| December 06, 2017 Filed Dec 6, 2017 23:51 UTC | Lipocine Inc. LPCN · Entity 7696 | GrantStock Options (Right to Buy) · Derivative | 75,000 | $3.52 Strike: $3.52 | $264,000.00 |
DisclosureSEC source: 0001638599-17-001223 · doc4_5124.xml · derivative · entry 1 Bass Gregory Brooks · CIK 0001696824 · EVP and Chief Commercial Offic 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2027-12-06 F1 · derivative.exercise_date: Subject to vesting whereby 1/3 of the shares subject to the award will vest on the one year anniversary of December 6, 2018, while the remaining 2/3 of the shares subject to the award have vesting monthly on a prorata basis over the following two years. 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.