person · Reporting owner

Tyree James L

Disclosed activity across 6 companies

Tapewire entity: 17074
SEC CIK: 0001324991

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
ABBOTT LABORATORIESABT · Entity 2314	Executive Vice President	February 27, 2009	March 04, 2009
Assertio Holdings, Inc.ASRT · Entity 37706	Director	March 14, 2024	March 16, 2024
Assertio Therapeutics, IncASRT · Entity 149352	Director	May 07, 2019	May 09, 2019
GENELUX CorpGNLX · Entity 1116	Director	June 16, 2026	June 18, 2026
Innoviva, Inc.INVA · Entity 4679	Director	April 20, 2017	April 24, 2017

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.

ABBOTT LABORATORIES

Report date February 27, 2009 · Filed March 04, 2009

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common shares without par valueSEC Table I · non-derivative	Direct	132,176	Ending reported balance After 2009-02-27 transaction · row 10 10 source rows · reconciled sequence Row 1 · 2009-02-27 · Tax withholding · Disposed 6,813 · Balance 142,630 Row 2 · 2009-02-27 · Sale · Disposed 5,554 · Balance 137,076 Row 3 · 2009-02-27 · Sale · Disposed 1,300 · Balance 135,776 Row 4 · 2009-02-27 · Sale · Disposed 200 · Balance 135,576 Row 5 · 2009-02-27 · Sale · Disposed 200 · Balance 135,376 Row 6 · 2009-02-27 · Sale · Disposed 1,500 · Balance 133,876 Row 7 · 2009-02-27 · Sale · Disposed 300 · Balance 133,576 Row 8 · 2009-02-27 · Sale · Disposed 200 · Balance 133,376 Row 9 · 2009-02-27 · Sale · Disposed 700 · Balance 132,676 Row 10 · 2009-02-27 · Sale · Disposed 500 · Balance 132,176
Common shares without par valueSEC Table I · non-derivative	IndirectProfit Sharing Trust	1,199	Reported balance Holding disclosure · report date 2009-02-27 · row 11 Holding and transaction disclosures are not merged. 1 source row Row 11 · Balance 1,199 F1: Balance in the Abbott Laboratories Stock Retirement Trust as of February 26, 2009.

Filing footnotes · ownership attribution and instrument terms

F1: Balance in the Abbott Laboratories Stock Retirement Trust as of February 26, 2009.

Assertio Holdings, Inc.

Report date March 14, 2024 · Filed March 16, 2024

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	188,251	Reported balance After 2024-03-14 transaction · row 1 1 source row Row 1 · 2024-03-14 · Sale · Disposed 10,251 · Balance 188,251 F1: The price reported is a weighted average sale price. The shares were sold in multiple same-way transactions on March 14, 2024 at prices ranging from $1.08 to $1.15 per share of common stock. If requested by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, the reporting person will provide full information regarding the number of shares of common stock sold at each separate price.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported is a weighted average sale price. The shares were sold in multiple same-way transactions on March 14, 2024 at prices ranging from $1.08 to $1.15 per share of common stock. If requested by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, the reporting person will provide full information regarding the number of shares of common stock sold at each separate price.

Assertio Therapeutics, Inc

Report date May 07, 2019 · Filed May 09, 2019

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	49,340	Reported balance After 2019-05-07 transaction · row 1 Account or security details depend on footnotes; rows are not merged. 1 source row Row 1 · 2019-05-07 · Grant · Acquired 39,584 · Balance 49,340 F1: Restricted stock units that vest in full on the first anniversary of the grant date. F2: Since the date of the reporting person's last ownership report, he transferred 9,756 shares of the Registrant's common stock pursuant to a domestic relations order. The reporting person no longer reports these securities as beneficially owned by him.
Common StockSEC Table I · non-derivative	Direct	80,590	Reported balance After 2019-05-08 transaction · row 2 Account or security details depend on footnotes; rows are not merged. 1 source row Row 2 · 2019-05-08 · Exercise / conversion · Acquired 31,250 · Balance 80,590
Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2019-05-08	Direct	0	Reported balance After 2019-05-08 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2019-05-08 · Exercise / conversion · Disposed 31,250 · Balance 0 F3: Each restricted stock unit represents the contingent right to receive one share of common stock. This transaction represents the settlement of vested restricted stock units in shares of common stock. F4: The derivative securities were granted to the reporting person, and were not sold to the reporting person. As such, the reporting person did not pay any consideration for the derivative securities.

Filing footnotes · ownership attribution and instrument terms

F1: Restricted stock units that vest in full on the first anniversary of the grant date.

F2: Since the date of the reporting person's last ownership report, he transferred 9,756 shares of the Registrant's common stock pursuant to a domestic relations order. The reporting person no longer reports these securities as beneficially owned by him.

F3: Each restricted stock unit represents the contingent right to receive one share of common stock. This transaction represents the settlement of vested restricted stock units in shares of common stock.

F4: The derivative securities were granted to the reporting person, and were not sold to the reporting person. As such, the reporting person did not pay any consideration for the derivative securities.

GENELUX Corp

Report date June 16, 2026 · Filed June 18, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	96,483	Reported balance After 2026-06-16 transaction · row 1 1 source row Row 1 · 2026-06-16 · Grant · Acquired 28,409 · Balance 96,483 F1: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2022 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of common stock upon vesting. The RSUs will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.03 · Expires 2036-06-15	Direct	31,566	Reported balance After 2026-06-16 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2026-06-16 · Grant · Acquired 31,566 · Balance 31,566 F2: The shares subject to the option will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders.

Filing footnotes · ownership attribution and instrument terms

F1: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2022 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of common stock upon vesting. The RSUs will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders.

F2: The shares subject to the option will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders.

Innoviva, Inc.

Report date April 20, 2017 · Filed April 24, 2017

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	70,554	Reported balance After 2017-04-20 transaction · row 1 1 source row Row 1 · 2017-04-20 · Grant · Acquired 19,857 · Balance 70,554 F1: The Reporting Person was granted restricted stock units ("RSUs"). 100% of the RSUs will vest at the sooner of the next annual shareholder meeting or the one-year anniversary of grant, subject to the Reporting Person's continuous service as an Outside Director through the applicable vesting date.

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person was granted restricted stock units ("RSUs"). 100% of the RSUs will vest at the sooner of the next annual shareholder meeting or the one-year anniversary of grant, subject to the Reporting Person's continuous service as an Outside Director through the applicable vesting date.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

ChemoCentryx, Inc.

Report date October 20, 2022 · Filed October 24, 2022

Section 16 reporting ended · disclosed 2022-10-24. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2022-10-20 transaction · row 1 1 source row Row 1 · 2022-10-20 · Disposition to issuer · Disposed 9,138 · Balance 0 F1: Reflects the disposition of securities pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 3, 2022, among Amgen Inc. ("Parent"), Carnation Merger Sub, Inc. ("Merger Sub") and ChemoCentryx, Inc. (the "Company"), pursuant to which, on October 20, 2022, Merger Sub merged with and into the Company, with the Company surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger (the "Effective Time"), each issued and outstanding share of common stock, par value $0.001 per share, of the Company (collectively, the "Shares," and each such share, a "Share") (other than any such Shares (i) held by the Company as treasury stock or owned by Parent or Merger Sub, (ii) held by any subsidiary of the Company or Parent (other than Merger Sub) or (iii) as to which appraisal rights have been properly exercised, F2: (Continued from Footnote 1) and not withdrawn, in accordance with the Delaware General Corporation Law) was thereupon canceled and converted into the right to receive $52.00 in cash, without interest (the "Merger Consideration"). As a result of the Merger, the Reporting Person no longer beneficially owns, directly or indirectly, any Shares.
Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $22.39	Direct	Reported balance After 2022-10-20 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2022-10-20 · Disposition to issuer · Disposed 8,342 · Balance 0 F3: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each stock option of the Company ("Company Option") held by the Reporting Person that remained outstanding as of immediately prior to the Effective Time vested in full and was canceled and converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (x) the number of Shares underlying such Company Option immediately prior to the Effective Time by (y) the amount, if any, by which the Merger Consideration exceeded the exercise price of such Company Option.
Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $10.06	Direct	Reported balance After 2022-10-20 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2022-10-20 · Disposition to issuer · Disposed 4,504 · Balance 0 F3: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each stock option of the Company ("Company Option") held by the Reporting Person that remained outstanding as of immediately prior to the Effective Time vested in full and was canceled and converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (x) the number of Shares underlying such Company Option immediately prior to the Effective Time by (y) the amount, if any, by which the Merger Consideration exceeded the exercise price of such Company Option.
Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $11.60	Direct	Reported balance After 2022-10-20 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2022-10-20 · Disposition to issuer · Disposed 12,287 · Balance 0 F3: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each stock option of the Company ("Company Option") held by the Reporting Person that remained outstanding as of immediately prior to the Effective Time vested in full and was canceled and converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (x) the number of Shares underlying such Company Option immediately prior to the Effective Time by (y) the amount, if any, by which the Merger Consideration exceeded the exercise price of such Company Option.
Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $12.94	Direct	Reported balance After 2022-10-20 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2022-10-20 · Disposition to issuer · Disposed 13,352 · Balance 0 F3: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each stock option of the Company ("Company Option") held by the Reporting Person that remained outstanding as of immediately prior to the Effective Time vested in full and was canceled and converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (x) the number of Shares underlying such Company Option immediately prior to the Effective Time by (y) the amount, if any, by which the Merger Consideration exceeded the exercise price of such Company Option.
Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $13.94	Direct	Reported balance After 2022-10-20 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2022-10-20 · Disposition to issuer · Disposed 12,500 · Balance 0 F3: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each stock option of the Company ("Company Option") held by the Reporting Person that remained outstanding as of immediately prior to the Effective Time vested in full and was canceled and converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (x) the number of Shares underlying such Company Option immediately prior to the Effective Time by (y) the amount, if any, by which the Merger Consideration exceeded the exercise price of such Company Option.
Restricted Stock UnitSEC Table II · derivative / convertible security	Direct	Reported balance After 2022-10-20 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2022-10-20 · Disposition to issuer · Disposed 15,723 · Balance 0 F4: At the Effective Time, each restricted stock unit of the Company held by the Reporting Person that was outstanding immediately prior to the Effective Time and that was (A) granted prior to August 3, 2022 or granted after August 3, 2022 and specified in the disclosure schedules delivered by the Company to Parent in connection with the Merger Agreement and/or (B) granted to a non-employee member of the Board became fully vested and was cancelled and converted into the right to receive an amount in cash, less applicable withholding taxes and without interest, equal to (x) the total number of Shares underlying such restricted stock unit multiplied by (y) $52.00. The restricted stock units did not have an expiration date.

Filing footnotes · ownership attribution and instrument terms

F1: Reflects the disposition of securities pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 3, 2022, among Amgen Inc. ("Parent"), Carnation Merger Sub, Inc. ("Merger Sub") and ChemoCentryx, Inc. (the "Company"), pursuant to which, on October 20, 2022, Merger Sub merged with and into the Company, with the Company surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger (the "Effective Time"), each issued and outstanding share of common stock, par value $0.001 per share, of the Company (collectively, the "Shares," and each such share, a "Share") (other than any such Shares (i) held by the Company as treasury stock or owned by Parent or Merger Sub, (ii) held by any subsidiary of the Company or Parent (other than Merger Sub) or (iii) as to which appraisal rights have been properly exercised,

F2: (Continued from Footnote 1) and not withdrawn, in accordance with the Delaware General Corporation Law) was thereupon canceled and converted into the right to receive $52.00 in cash, without interest (the "Merger Consideration"). As a result of the Merger, the Reporting Person no longer beneficially owns, directly or indirectly, any Shares.

F3: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each stock option of the Company ("Company Option") held by the Reporting Person that remained outstanding as of immediately prior to the Effective Time vested in full and was canceled and converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (x) the number of Shares underlying such Company Option immediately prior to the Effective Time by (y) the amount, if any, by which the Merger Consideration exceeded the exercise price of such Company Option.

F4: At the Effective Time, each restricted stock unit of the Company held by the Reporting Person that was outstanding immediately prior to the Effective Time and that was (A) granted prior to August 3, 2022 or granted after August 3, 2022 and specified in the disclosure schedules delivered by the Company to Parent in connection with the Merger Agreement and/or (B) granted to a non-employee member of the Board became fully vested and was cancelled and converted into the right to receive an amount in cash, less applicable withholding taxes and without interest, equal to (x) the total number of Shares underlying such restricted stock unit multiplied by (y) $52.00. The restricted stock units did not have an expiration date.

Transaction history

JSON API

Purchases/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
June 16, 2026 Filed Jun 18, 2026 23:05 UTC	GENELUX Corp GNLX · Entity 1116	GrantStock Option (Right to Buy) · Derivative	31,566	$0.00 Strike: $3.03	$0.00	Disclosure SEC source: 0001493152-26-029418 · ownership.xml · derivative · entry 2 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 31,566 Underlying: Common stock · 31,566 shares Expires 2036-06-15 F2 · derivative.exercise_date: The shares subject to the option will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders. Read SEC document
June 16, 2026 Filed Jun 18, 2026 23:05 UTC	GENELUX Corp GNLX · Entity 1116	GrantCommon Stock	28,409	$0.00	$0.00	Disclosure SEC source: 0001493152-26-029418 · ownership.xml · nonDerivative · entry 1 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 96,483 F1 · kind: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2022 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of common stock upon vesting. The RSUs will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders. Read SEC document
August 27, 2025 Filed Aug 29, 2025 20:30 UTC	GENELUX Corp GNLX · Entity 1116	GrantStock Option (Right to Buy) · Derivative	28,576	$0.00 Strike: $3.64	$0.00	Disclosure SEC source: 0001641172-25-026006 · ownership.xml · derivative · entry 2 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,576 Underlying: Common stock · 28,576 shares Expires 2035-08-26 F2 · derivative.exercise_date: The shares subject to the option will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders. Read SEC document
August 27, 2025 Filed Aug 29, 2025 20:30 UTC	GENELUX Corp GNLX · Entity 1116	GrantCommon Stock	22,283	$0.00	$0.00	Disclosure SEC source: 0001641172-25-026006 · ownership.xml · nonDerivative · entry 1 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 68,074 F1 · kind: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2022 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of common stock upon vesting. The RSUs will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders. Read SEC document
December 30, 2024 Filed Dec 31, 2024 00:48 UTC	GENELUX Corp GNLX · Entity 1116	SaleCommon Stock	3,460	$2.46	$8,511.60	Disclosure SEC source: 0001415889-24-030248 · form4-12312024_121226.xml · nonDerivative · entry 1 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 45,791 F1 · price: The weighted average sale price for the transaction reported was $2.46, and the range of prices were between $2.45 and $2.46. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided. Read SEC document
September 11, 2024 Filed Sep 13, 2024 00:40 UTC	GENELUX Corp GNLX · Entity 1116	SaleCommon Stock	1,730	$2.60	$4,498.87	Disclosure SEC source: 0001415889-24-023335 · form4-09132024_120946.xml · nonDerivative · entry 1 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 47,521 F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2023. F2 · price: The weighted average sale price for the transaction reported was $2.6005, and the range of prices were between $2.50 and $2.68. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided Read SEC document
August 01, 2024 Filed Aug 5, 2024 22:37 UTC	GENELUX Corp GNLX · Entity 1116	GrantStock Option Right to Buy) · Derivative	50,469	$0.00 Strike: $1.54	$0.00	Disclosure SEC source: 0001415889-24-020781 · form4-08052024_100857.xml · derivative · entry 2 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,469 Underlying: Common Stock · 50,469 shares Expires 2034-07-31 F2 · derivative.exercise_date: The shares subject to the option will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders. Read SEC document
August 01, 2024 Filed Aug 5, 2024 22:37 UTC	GENELUX Corp GNLX · Entity 1116	GrantCommon Stock	39,541	$0.00	$0.00	Disclosure SEC source: 0001415889-24-020781 · form4-08052024_100857.xml · nonDerivative · entry 1 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 49,251 F1 · kind: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2022 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of common stock upon vesting. The RSUs will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders. Read SEC document
August 01, 2024 Filed Dec 31, 2024 18:20 UTC Amendment	GENELUX Corp GNLX · Entity 1116	GrantStock Option Right to Buy) · Derivative	50,469	$0.00 Strike: $1.96	$0.00	Disclosure SEC source: 0001415889-24-030274 · form4a-12312024_011201.xml · derivative · entry 1 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 50,469 Underlying: Common Stock · 50,469 shares Expires 2034-07-31 F1 · derivative.exercise_date: The shares subject to the option will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders. Read SEC document
May 29, 2024 Filed Jun 8, 2024 01:45 UTC	GENELUX Corp GNLX · Entity 1116	PurchaseCommon Stock Warrant (Right to Buy) · Derivative	6,250	Not disclosed Strike: $5.25	Not disclosed	Disclosure SEC source: 0001415889-24-016110 · form4-06072024_090616.xml · derivative · entry 2 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,250 Underlying: Common Stock · 6,250 shares Expires 2029-05-29 F1 · kind: The Reporting Person's purchase reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934 with the Reporting Person's sale of common stock on December 13, 2023. The Reporting Person has agreed to pay to the Issuer the profit realized in connection with the short-swing transaction, less transaction costs. F2 · price: The reported securities consist of shares of common stock sold together with accompanying warrants to purchase common stock. The combined price of each share of common stock offered together with one warrant was $4.00. Read SEC document
May 29, 2024 Filed Jun 8, 2024 01:45 UTC	GENELUX Corp GNLX · Entity 1116	PurchaseCommon Stock	6,250	Not disclosed	Not disclosed	Disclosure SEC source: 0001415889-24-016110 · form4-06072024_090616.xml · nonDerivative · entry 1 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,710 F1 · kind: The Reporting Person's purchase reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934 with the Reporting Person's sale of common stock on December 13, 2023. The Reporting Person has agreed to pay to the Issuer the profit realized in connection with the short-swing transaction, less transaction costs. F2 · price: The reported securities consist of shares of common stock sold together with accompanying warrants to purchase common stock. The combined price of each share of common stock offered together with one warrant was $4.00. Read SEC document
March 14, 2024 Filed Mar 16, 2024 00:01 UTC	Assertio Holdings, Inc. ASRT · Entity 37706	SaleCommon Stock	10,251	$1.12	$11,462.67	Disclosure SEC source: 0001104659-24-035117 · tm248884-1_4seq1.xml · nonDerivative · entry 1 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 188,251 F1 · price: The price reported is a weighted average sale price. The shares were sold in multiple same-way transactions on March 14, 2024 at prices ranging from $1.08 to $1.15 per share of common stock. If requested by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, the reporting person will provide full information regarding the number of shares of common stock sold at each separate price. Read SEC document
December 13, 2023 Filed Dec 15, 2023 01:59 UTC	GENELUX Corp GNLX · Entity 1116	SaleCommon Stock	3,347	$13.73	$45,963.35	Disclosure SEC source: 0001209191-23-058710 · doc4.xml · nonDerivative · entry 2 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,460 F2 · price: The weighted average sale price for the transaction reported was $13.7327, and the range of prices were between $13.33 and $14.14. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided. Read SEC document
December 13, 2023 Filed Dec 15, 2023 01:59 UTC	GENELUX Corp GNLX · Entity 1116	SaleCommon Stock	5,653	$12.91	$73,005.67	Disclosure SEC source: 0001209191-23-058710 · doc4.xml · nonDerivative · entry 1 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,807 F1 · price: The weighted average sale price for the transaction reported was $12.9145, and the range of prices were between $12.29 and $13.22. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided. Read SEC document
September 11, 2023 Filed Sep 14, 2023 00:16 UTC	GENELUX Corp GNLX · Entity 1116	GrantStock Option (Right to Buy) · Derivative	4,397	$0.00 Strike: $22.40	$0.00	Disclosure SEC source: 0001209191-23-049367 · doc4.xml · derivative · entry 2 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,397 Underlying: Common Stock · 4,397 shares Expires 2033-09-10 F2 · derivative.exercise_date: The shares subject to the option will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders. Read SEC document
September 11, 2023 Filed Sep 14, 2023 00:16 UTC	GENELUX Corp GNLX · Entity 1116	GrantCommon Stock	3,460	$0.00	$0.00	Disclosure SEC source: 0001209191-23-049367 · doc4.xml · nonDerivative · entry 1 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 12,460 F1 · kind: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2022 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of common stock upon vesting. The RSUs will vest upon the earlier of (a) the one-year anniversary of the date of grant and (b) the date of the Issuer's next annual meeting of stockholders. Read SEC document
May 10, 2023 Filed May 12, 2023 22:34 UTC	Assertio Holdings, Inc. ASRT · Entity 37706	GrantStock Option (right to buy) · Derivative	3,821	$0.00 Strike: $7.55	$0.00	Disclosure SEC source: 0001808665-23-000035 · wf-form4_168393086569823.xml · derivative · entry 2 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,821 Underlying: Common Stock · 3,821 shares Expires 2033-05-10 F3 · price: These derivative securities were granted to the reporting person, and were not sold to the reporting person. As such, the reporting person did not pay any consideration for these derivative securities. F2 · derivative.exercise_date: Stock Options that vest in full on the first anniversary of the grant date and which were granted on the date of the Issuer's 2023 Annual Meeting of Stockholders in accordance with the Issuer's Nonemployee Director Compensation & Grant Policy. Read SEC document
May 10, 2023 Filed May 12, 2023 22:34 UTC	Assertio Holdings, Inc. ASRT · Entity 37706	GrantCommon Stock	31,194	$0.00	$0.00	Disclosure SEC source: 0001808665-23-000035 · wf-form4_168393086569823.xml · nonDerivative · entry 1 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 198,502 F1 · shares: Restricted stock units that vest in full on the first anniversary of the grant date and which were granted on the date of the Issuer's 2023 Annual Meeting of Stockholders in accordance with the Issuer's Nonemployee Director Compensation & Grant Policy. Read SEC document
May 05, 2023 Filed May 6, 2023 01:10 UTC	Assertio Holdings, Inc. ASRT · Entity 37706	SaleCommon Stock	43,143	$6.00	$258,767.40	Disclosure SEC source: 0001808665-23-000020 · wf-form4_168333544363685.xml · nonDerivative · entry 1 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 167,308 F1 · kind: The transaction reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 22, 2023 to cover taxes upon the May 4, 2023 vesting of restricted stock units. F2 · price: The price reported is a weighted average sale price. The shares were sold in multiple same-way transactions on May 5, 2023 at prices ranging from $5.88 to $6.13 per share of common stock. If requested by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, the reporting person will provide full information regarding the number of shares of common stock sold at each separate price. Read SEC document
February 17, 2023 Filed May 2, 2023 20:33 UTC	GENELUX Corp GNLX · Entity 1116	GrantCommon Stock	9,000	$0.00	$0.00	Disclosure SEC source: 0001209191-23-026524 · doc4.xml · nonDerivative · entry 1 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,000 F1 · kind: Represents restricted stock units ("RSUs") granted pursuant to the Issuer's 2022 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of common stock upon vesting. The RSUs will be fully vested on July 25, 2023. Read SEC document
October 20, 2022 Filed Oct 24, 2022 23:02 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	Disposition to issuerRestricted Stock Unit · Derivative	15,723	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-22-034077 · doc4.xml · derivative · entry 7 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,723 shares Expires not disclosed F4 · derivative.exercise_price: At the Effective Time, each restricted stock unit of the Company held by the Reporting Person that was outstanding immediately prior to the Effective Time and that was (A) granted prior to August 3, 2022 or granted after August 3, 2022 and specified in the disclosure schedules delivered by the Company to Parent in connection with the Merger Agreement and/or (B) granted to a non-employee member of the Board became fully vested and was cancelled and converted into the right to receive an amount in cash, less applicable withholding taxes and without interest, equal to (x) the total number of Shares underlying such restricted stock unit multiplied by (y) $52.00. The restricted stock units did not have an expiration date. F4 · price: At the Effective Time, each restricted stock unit of the Company held by the Reporting Person that was outstanding immediately prior to the Effective Time and that was (A) granted prior to August 3, 2022 or granted after August 3, 2022 and specified in the disclosure schedules delivered by the Company to Parent in connection with the Merger Agreement and/or (B) granted to a non-employee member of the Board became fully vested and was cancelled and converted into the right to receive an amount in cash, less applicable withholding taxes and without interest, equal to (x) the total number of Shares underlying such restricted stock unit multiplied by (y) $52.00. The restricted stock units did not have an expiration date. F4 · derivative.exercise_date: At the Effective Time, each restricted stock unit of the Company held by the Reporting Person that was outstanding immediately prior to the Effective Time and that was (A) granted prior to August 3, 2022 or granted after August 3, 2022 and specified in the disclosure schedules delivered by the Company to Parent in connection with the Merger Agreement and/or (B) granted to a non-employee member of the Board became fully vested and was cancelled and converted into the right to receive an amount in cash, less applicable withholding taxes and without interest, equal to (x) the total number of Shares underlying such restricted stock unit multiplied by (y) $52.00. The restricted stock units did not have an expiration date. F4 · derivative.expiration_date: At the Effective Time, each restricted stock unit of the Company held by the Reporting Person that was outstanding immediately prior to the Effective Time and that was (A) granted prior to August 3, 2022 or granted after August 3, 2022 and specified in the disclosure schedules delivered by the Company to Parent in connection with the Merger Agreement and/or (B) granted to a non-employee member of the Board became fully vested and was cancelled and converted into the right to receive an amount in cash, less applicable withholding taxes and without interest, equal to (x) the total number of Shares underlying such restricted stock unit multiplied by (y) $52.00. The restricted stock units did not have an expiration date. Read SEC document
October 20, 2022 Filed Oct 24, 2022 23:02 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	Disposition to issuerStock Option · Derivative	12,500	Not disclosed Strike: $13.94	Not disclosed	Disclosure SEC source: 0000899243-22-034077 · doc4.xml · derivative · entry 6 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,500 shares Expires not disclosed F3 · price: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each stock option of the Company ("Company Option") held by the Reporting Person that remained outstanding as of immediately prior to the Effective Time vested in full and was canceled and converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (x) the number of Shares underlying such Company Option immediately prior to the Effective Time by (y) the amount, if any, by which the Merger Consideration exceeded the exercise price of such Company Option. F3 · derivative.exercise_date: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each stock option of the Company ("Company Option") held by the Reporting Person that remained outstanding as of immediately prior to the Effective Time vested in full and was canceled and converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (x) the number of Shares underlying such Company Option immediately prior to the Effective Time by (y) the amount, if any, by which the Merger Consideration exceeded the exercise price of such Company Option. F3 · derivative.expiration_date: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each stock option of the Company ("Company Option") held by the Reporting Person that remained outstanding as of immediately prior to the Effective Time vested in full and was canceled and converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (x) the number of Shares underlying such Company Option immediately prior to the Effective Time by (y) the amount, if any, by which the Merger Consideration exceeded the exercise price of such Company Option. Read SEC document
October 20, 2022 Filed Oct 24, 2022 23:02 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	Disposition to issuerStock Option · Derivative	13,352	Not disclosed Strike: $12.94	Not disclosed	Disclosure SEC source: 0000899243-22-034077 · doc4.xml · derivative · entry 5 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,352 shares Expires not disclosed F3 · price: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each stock option of the Company ("Company Option") held by the Reporting Person that remained outstanding as of immediately prior to the Effective Time vested in full and was canceled and converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (x) the number of Shares underlying such Company Option immediately prior to the Effective Time by (y) the amount, if any, by which the Merger Consideration exceeded the exercise price of such Company Option. F3 · derivative.exercise_date: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each stock option of the Company ("Company Option") held by the Reporting Person that remained outstanding as of immediately prior to the Effective Time vested in full and was canceled and converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (x) the number of Shares underlying such Company Option immediately prior to the Effective Time by (y) the amount, if any, by which the Merger Consideration exceeded the exercise price of such Company Option. F3 · derivative.expiration_date: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each stock option of the Company ("Company Option") held by the Reporting Person that remained outstanding as of immediately prior to the Effective Time vested in full and was canceled and converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (x) the number of Shares underlying such Company Option immediately prior to the Effective Time by (y) the amount, if any, by which the Merger Consideration exceeded the exercise price of such Company Option. Read SEC document
October 20, 2022 Filed Oct 24, 2022 23:02 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	Disposition to issuerStock Option · Derivative	12,287	Not disclosed Strike: $11.60	Not disclosed	Disclosure SEC source: 0000899243-22-034077 · doc4.xml · derivative · entry 4 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,287 shares Expires not disclosed F3 · price: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each stock option of the Company ("Company Option") held by the Reporting Person that remained outstanding as of immediately prior to the Effective Time vested in full and was canceled and converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (x) the number of Shares underlying such Company Option immediately prior to the Effective Time by (y) the amount, if any, by which the Merger Consideration exceeded the exercise price of such Company Option. F3 · derivative.exercise_date: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each stock option of the Company ("Company Option") held by the Reporting Person that remained outstanding as of immediately prior to the Effective Time vested in full and was canceled and converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (x) the number of Shares underlying such Company Option immediately prior to the Effective Time by (y) the amount, if any, by which the Merger Consideration exceeded the exercise price of such Company Option. F3 · derivative.expiration_date: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each stock option of the Company ("Company Option") held by the Reporting Person that remained outstanding as of immediately prior to the Effective Time vested in full and was canceled and converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (x) the number of Shares underlying such Company Option immediately prior to the Effective Time by (y) the amount, if any, by which the Merger Consideration exceeded the exercise price of such Company Option. Read SEC document
October 20, 2022 Filed Oct 24, 2022 23:02 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	Disposition to issuerStock Option · Derivative	4,504	Not disclosed Strike: $10.06	Not disclosed	Disclosure SEC source: 0000899243-22-034077 · doc4.xml · derivative · entry 3 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,504 shares Expires not disclosed F3 · price: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each stock option of the Company ("Company Option") held by the Reporting Person that remained outstanding as of immediately prior to the Effective Time vested in full and was canceled and converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (x) the number of Shares underlying such Company Option immediately prior to the Effective Time by (y) the amount, if any, by which the Merger Consideration exceeded the exercise price of such Company Option. F3 · derivative.exercise_date: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each stock option of the Company ("Company Option") held by the Reporting Person that remained outstanding as of immediately prior to the Effective Time vested in full and was canceled and converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (x) the number of Shares underlying such Company Option immediately prior to the Effective Time by (y) the amount, if any, by which the Merger Consideration exceeded the exercise price of such Company Option. F3 · derivative.expiration_date: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each stock option of the Company ("Company Option") held by the Reporting Person that remained outstanding as of immediately prior to the Effective Time vested in full and was canceled and converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (x) the number of Shares underlying such Company Option immediately prior to the Effective Time by (y) the amount, if any, by which the Merger Consideration exceeded the exercise price of such Company Option. Read SEC document
October 20, 2022 Filed Oct 24, 2022 23:02 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	Disposition to issuerStock Option · Derivative	8,342	Not disclosed Strike: $22.39	Not disclosed	Disclosure SEC source: 0000899243-22-034077 · doc4.xml · derivative · entry 2 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,342 shares Expires not disclosed F3 · price: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each stock option of the Company ("Company Option") held by the Reporting Person that remained outstanding as of immediately prior to the Effective Time vested in full and was canceled and converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (x) the number of Shares underlying such Company Option immediately prior to the Effective Time by (y) the amount, if any, by which the Merger Consideration exceeded the exercise price of such Company Option. F3 · derivative.exercise_date: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each stock option of the Company ("Company Option") held by the Reporting Person that remained outstanding as of immediately prior to the Effective Time vested in full and was canceled and converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (x) the number of Shares underlying such Company Option immediately prior to the Effective Time by (y) the amount, if any, by which the Merger Consideration exceeded the exercise price of such Company Option. F3 · derivative.expiration_date: Pursuant to the Merger Agreement, immediately prior to the Effective Time, each stock option of the Company ("Company Option") held by the Reporting Person that remained outstanding as of immediately prior to the Effective Time vested in full and was canceled and converted into the right to receive an amount in cash (without interest) equal to the product obtained by multiplying (x) the number of Shares underlying such Company Option immediately prior to the Effective Time by (y) the amount, if any, by which the Merger Consideration exceeded the exercise price of such Company Option. Read SEC document
October 20, 2022 Filed Oct 24, 2022 23:02 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	Disposition to issuerCommon Stock	9,138	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-22-034077 · doc4.xml · nonDerivative · entry 1 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Reflects the disposition of securities pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 3, 2022, among Amgen Inc. ("Parent"), Carnation Merger Sub, Inc. ("Merger Sub") and ChemoCentryx, Inc. (the "Company"), pursuant to which, on October 20, 2022, Merger Sub merged with and into the Company, with the Company surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger (the "Effective Time"), each issued and outstanding share of common stock, par value $0.001 per share, of the Company (collectively, the "Shares," and each such share, a "Share") (other than any such Shares (i) held by the Company as treasury stock or owned by Parent or Merger Sub, (ii) held by any subsidiary of the Company or Parent (other than Merger Sub) or (iii) as to which appraisal rights have been properly exercised, F2 · price: (Continued from Footnote 1) and not withdrawn, in accordance with the Delaware General Corporation Law) was thereupon canceled and converted into the right to receive $52.00 in cash, without interest (the "Merger Consideration"). As a result of the Merger, the Reporting Person no longer beneficially owns, directly or indirectly, any Shares. Read SEC document
August 04, 2022 Filed Aug 8, 2022 23:27 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	SaleCommon Stock	10,000	$50.22	$502,200.00	Disclosure SEC source: 0001209191-22-044891 · doc4.xml · nonDerivative · entry 1 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,138 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Read SEC document
June 09, 2022 Filed Jun 13, 2022 22:28 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	SaleCommon Stock	59	$26.22	$1,546.98	Disclosure SEC source: 0001209191-22-036438 · doc4.xml · nonDerivative · entry 2 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,138 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Read SEC document
June 09, 2022 Filed Jun 13, 2022 22:28 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	SaleCommon Stock	3,804	$25.65	$97,582.49	Disclosure SEC source: 0001209191-22-036438 · doc4.xml · nonDerivative · entry 1 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,197 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · price: Reflects the weighted average sale price of the shares sold. The shares were sold in multiple trades at prices ranging from $25.15 to $26.13 per share. The Reporting Person will provide to the SEC staff, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price. Read SEC document
May 26, 2022 Filed Jun 1, 2022 01:39 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	GrantStock Option (right to buy) · Derivative	8,342	Not disclosed Strike: $22.39	Not disclosed	Disclosure SEC source: 0001209191-22-033045 · doc4.xml · derivative · entry 2 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,342 Underlying: Common Stock · 8,342 shares Expires 2032-05-26 F4 · price: Not applicable. F3 · derivative.exercise_date: The option granted on May 26, 2022, vests on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Company on such date. Read SEC document
May 26, 2022 Filed Jun 1, 2022 01:39 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	GrantRestricted Stock Units · Derivative	15,723	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-22-033045 · doc4.xml · derivative · entry 1 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,723 Underlying: Common Stock · 15,723 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of CCXI common stock. F1 · price: Each restricted stock unit represents a contingent right to receive one share of CCXI common stock. F2 · derivative.exercise_date: The restricted stock units awarded on May 26, 2022, vests on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Company on such date. Shares will be delivered to the Reporting Person within thirty (30) days following the vesting date. F2 · derivative.expiration_date: The restricted stock units awarded on May 26, 2022, vests on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Company on such date. Shares will be delivered to the Reporting Person within thirty (30) days following the vesting date. Read SEC document
May 20, 2022 Filed May 25, 2022 00:18 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	Exercise / conversionRestricted Stock Units · Derivative	7,726	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-22-031763 · doc4.xml · derivative · entry 2 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,726 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. F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of CCXI common stock. F2 · price: Each restricted stock unit represents a contingent right to receive one share of CCXI common stock. F3 · derivative.exercise_date: 100% of the restricted stock units vested on May 20, 2022. Vested shares will be delivered to the Reporting Person within thirty (30) days following vest date. F3 · derivative.expiration_date: 100% of the restricted stock units vested on May 20, 2022. Vested shares will be delivered to the Reporting Person within thirty (30) days following vest date. Read SEC document
May 20, 2022 Filed May 25, 2022 00:18 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	Exercise / conversionCommon Stock	7,726	$0.00	$0.00	Disclosure SEC source: 0001209191-22-031763 · doc4.xml · nonDerivative · entry 1 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,001 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: Shares were acquired upon vesting of restricted stock units awarded on May 20, 2021. Read SEC document
May 12, 2022 Filed May 16, 2022 23:20 UTC	Assertio Holdings, Inc. ASRT · Entity 37706	SaleCommon Stock	44,643	$2.36	$105,169.98	Disclosure SEC source: 0001808665-22-000039 · wf-form4_165274321184427.xml · nonDerivative · entry 1 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 210,451 F1 · kind: The transaction reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 28, 2022 to cover taxes upon the May 11, 2022 vesting of restricted stock units. F2 · price: The price reported is a weighted average sale price. The shares were sold in multiple same-way transactions on May 12, 2022 at prices ranging from $2.19 to $2.53 per share of common stock. If requested by the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer, the reporting person will provide full information regarding the number of shares of common stock sold at each separate price. Read SEC document
May 04, 2022 Filed May 7, 2022 00:27 UTC	Assertio Holdings, Inc. ASRT · Entity 37706	GrantCommon Stock	86,286	$0.00	$0.00	Disclosure SEC source: 0001808665-22-000022 · wf-form4_165188324747429.xml · nonDerivative · entry 1 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 255,094 F1 · shares: Restricted stock units that vest in full on the first anniversary of the grant date and which were granted on the date of the Issuer's 2022 Annual Meeting of Stockholders in accordance with the Issuer's Nonemployee Director Compensation & Grant Policy. F2 · balance_after: On May 18, 2021 the Issuer effected a 1-for-4 reverse stock split (the "Reverse Stock Split"). The number of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split. Read SEC document
December 17, 2021 Filed Dec 21, 2021 23:33 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	Exercise / conversionStock Option (right to buy) · Derivative	12,500	Not disclosed Strike: $14.42	Not disclosed	Disclosure SEC source: 0001209191-21-070839 · doc4.xml · derivative · entry 7 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,500 shares Expires 2022-06-22 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 · price: Not applicable. F5 · derivative.exercise_date: As of December 17, 2021, and prior to this transaction, the exercised options were fully vested. Read SEC document
December 17, 2021 Filed Dec 21, 2021 23:33 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	Exercise / conversionStock Option (right to buy) · Derivative	25,000	Not disclosed Strike: $12.62	Not disclosed	Disclosure SEC source: 0001209191-21-070839 · doc4.xml · derivative · entry 6 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires 2022-06-05 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 · price: Not applicable. F5 · derivative.exercise_date: As of December 17, 2021, and prior to this transaction, the exercised options were fully vested. Read SEC document
December 17, 2021 Filed Dec 21, 2021 23:33 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	SaleCommon Stock	18,066	$35.50	$641,415.26	Disclosure SEC source: 0001209191-21-070839 · doc4.xml · nonDerivative · entry 5 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,275 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F4 · price: Reflects the weighted average sale price of the shares sold. The shares were sold in multiple trades at prices ranging from $35.15 to $35.90 per share. The Reporting Person will provide to the SEC staff, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price. Read SEC document
December 17, 2021 Filed Dec 21, 2021 23:33 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	SaleCommon Stock	16,634	$34.74	$577,893.44	Disclosure SEC source: 0001209191-21-070839 · doc4.xml · nonDerivative · entry 4 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,341 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F3 · price: Reflects the weighted average sale price of the shares sold. The shares were sold in multiple trades at prices ranging from $34.15 to $35.14 per share. The Reporting Person will provide to the SEC staff, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price. Read SEC document
December 17, 2021 Filed Dec 21, 2021 23:33 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	SaleCommon Stock	2,800	$33.52	$93,856.00	Disclosure SEC source: 0001209191-21-070839 · doc4.xml · nonDerivative · entry 3 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,975 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F2 · price: Reflects the weighted average sale price of the shares sold. The shares were sold in multiple trades at prices ranging from $33.14 to $34.09 per share. The Reporting Person will provide to the SEC staff, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price. Read SEC document
December 17, 2021 Filed Dec 21, 2021 23:33 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	Exercise / conversionCommon Stock	12,500	$14.42	$180,250.00	Disclosure SEC source: 0001209191-21-070839 · doc4.xml · nonDerivative · entry 2 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,775 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
December 17, 2021 Filed Dec 21, 2021 23:33 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	Exercise / conversionCommon Stock	25,000	$12.62	$315,500.00	Disclosure SEC source: 0001209191-21-070839 · doc4.xml · nonDerivative · entry 1 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,275 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
May 21, 2021 Filed May 25, 2021 00:19 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	Exercise / conversionRestricted Stock Units · Derivative	4,660	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-21-035562 · doc4.xml · derivative · entry 5 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,660 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. F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of CCXI common stock. F4 · price: Each restricted stock unit represents a contingent right to receive one share of CCXI common stock. F8 · derivative.exercise_date: 100% of the restricted stock units vested on May 21, 2021. Vested shares will be delivered to the Reporting Person within thirty (30) days following vest date. F8 · derivative.expiration_date: 100% of the restricted stock units vested on May 21, 2021. Vested shares will be delivered to the Reporting Person within thirty (30) days following vest date. Read SEC document
May 21, 2021 Filed May 25, 2021 00:19 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	SaleCommon Stock	2,454	$9.76	$23,955.95	Disclosure SEC source: 0001209191-21-035562 · doc4.xml · nonDerivative · entry 2 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,275 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person to cover anticipated taxes due upon vesting of restricted stock unit shares. F3 · price: Reflects the weighted average sale price of the shares sold. The shares were sold in multiple trades at prices ranging from $9.65 to $10.03 per share. The Reporting Person will provide to the SEC staff, the issuer or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price. Read SEC document
May 21, 2021 Filed May 25, 2021 00:19 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	Exercise / conversionCommon Stock	4,660	$0.00	$0.00	Disclosure SEC source: 0001209191-21-035562 · doc4.xml · nonDerivative · entry 1 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,729 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: Shares were acquired upon vesting of restricted stock units awarded on May 21, 2020. Read SEC document
May 20, 2021 Filed May 25, 2021 00:19 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	GrantStock Option (right to buy) · Derivative	4,504	Not disclosed Strike: $10.06	Not disclosed	Disclosure SEC source: 0001209191-21-035562 · doc4.xml · derivative · entry 4 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,504 Underlying: Common Stock · 4,504 shares Expires 2031-05-20 F7 · price: Not applicable. F6 · derivative.exercise_date: The option granted on May 20, 2021, vests on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Company on such date. Read SEC document
May 20, 2021 Filed May 25, 2021 00:19 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	GrantRestricted Stock Units · Derivative	7,726	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-21-035562 · doc4.xml · derivative · entry 3 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,726 Underlying: Common Stock · 7,726 shares Expires not disclosed F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of CCXI common stock. F4 · price: Each restricted stock unit represents a contingent right to receive one share of CCXI common stock. F5 · derivative.exercise_date: The restricted stock units awarded on May 20, 2021, vests on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Company on such date. Shares will be delivered to the Reporting Person within thirty (30) days following vest date. F5 · derivative.expiration_date: The restricted stock units awarded on May 20, 2021, vests on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Company on such date. Shares will be delivered to the Reporting Person within thirty (30) days following vest date. Read SEC document
May 11, 2021 Filed May 13, 2021 21:27 UTC	Assertio Holdings, Inc. ASRT · Entity 37706	GrantCommon Stock	357,143	$0.00	$0.00	Disclosure SEC source: 0001808665-21-000047 · wf-form4_162094119519688.xml · nonDerivative · entry 1 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 675,233 F1 · shares: Restricted stock units that vest in full on the first anniversary of the grant date. Read SEC document
May 23, 2020 Filed May 27, 2020 00:59 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	Exercise / conversionRestricted Stock Units · Derivative	7,724	Not disclosed	Not disclosed	Disclosure SEC source: 0001209191-20-032212 · doc4.xml · derivative · entry 4 Tyree James L · CIK 0001324991 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,724 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. F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of CCXI common stock. F4 · price: Each restricted stock unit represents a contingent right to receive one share of CCXI common stock. F6 · derivative.exercise_date: 100% of the restricted stock units vested on May 23, 2020. Vested shares will be delivered to the Reporting Person within thirty (30) days following vest date. F6 · derivative.expiration_date: 100% of the restricted stock units vested on May 23, 2020. Vested shares will be delivered to the Reporting Person within thirty (30) days following vest 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.