Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CERENOME, INC.CTYX · Entity 7637 | Director | November 28, 2017 | November 29, 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.
CERENOME, INC.
Report date November 28, 2017 · Filed November 29, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Subscription Rights (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1,000.00 · Expires 2017-11-21 | Direct | 0 |
Reported balance
After 2017-11-28 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-11-28 · Other · Disposed 6 · Balance 0 F1: The preferred stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by Cytori Therapeutics, In. (the "Company") to all holders of the Company's common stock on October 27, 2017. The subscription rights entitled each recipient to purchase units ("Units"). Each Unit consists of one share of the Company's Series B Preferred Stock (convertible into 3,000 shares of the Company's common stock) and 1,800 warrants, with each warrant representing the right to purchase one share of the Company's common stock. The purchase price for each Unit was $1,000. |
| Series B Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.33 | Direct | 6 |
Reported balance
After 2017-11-28 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-11-28 · Other · Acquired 6 · Balance 6 F1: The preferred stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by Cytori Therapeutics, In. (the "Company") to all holders of the Company's common stock on October 27, 2017. The subscription rights entitled each recipient to purchase units ("Units"). Each Unit consists of one share of the Company's Series B Preferred Stock (convertible into 3,000 shares of the Company's common stock) and 1,800 warrants, with each warrant representing the right to purchase one share of the Company's common stock. The purchase price for each Unit was $1,000. F2: The Series B Preferred Stock has no expiration date. |
| Warrants (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.33 · Expires 2020-05-28 | Direct | 10,800 |
Reported balance
After 2017-11-28 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2017-11-28 · Other · Acquired 10,800 · Balance 10,800 F1: The preferred stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by Cytori Therapeutics, In. (the "Company") to all holders of the Company's common stock on October 27, 2017. The subscription rights entitled each recipient to purchase units ("Units"). Each Unit consists of one share of the Company's Series B Preferred Stock (convertible into 3,000 shares of the Company's common stock) and 1,800 warrants, with each warrant representing the right to purchase one share of the Company's common stock. The purchase price for each Unit was $1,000. F3: Each warrant entitles the holder to purchase one share of the Company's common stock at an exercise price of $0.3333 per share from the date the Company receives stockholder approval of an amendment to its certificate of incorporation to increase its authorized shares of common stock through May 28, 2020. |
Filing footnotes · ownership attribution and instrument terms
F1: The preferred stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by Cytori Therapeutics, In. (the "Company") to all holders of the Company's common stock on October 27, 2017. The subscription rights entitled each recipient to purchase units ("Units"). Each Unit consists of one share of the Company's Series B Preferred Stock (convertible into 3,000 shares of the Company's common stock) and 1,800 warrants, with each warrant representing the right to purchase one share of the Company's common stock. The purchase price for each Unit was $1,000.
F2: The Series B Preferred Stock has no expiration date.
F3: Each warrant entitles the holder to purchase one share of the Company's common stock at an exercise price of $0.3333 per share from the date the Company receives stockholder approval of an amendment to its certificate of incorporation to increase its authorized shares of common stock through May 28, 2020.
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 |
|---|---|---|---|---|---|---|
| November 28, 2017 Filed Nov 29, 2017 22:40 UTC | CERENOME, INC. CTYX · Entity 7637 | OtherWarrants (Right to Buy) · Derivative | 10,800 | Not disclosed Strike: $0.33 | Not disclosed |
DisclosureSEC source: 0001209191-17-062903 · doc4.xml · derivative · entry 3 RICKEY DAVID · CIK 0001184566 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,800 Underlying: Common Stock · 10,800 shares Expires 2020-05-28 F1 · price: The preferred stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by Cytori Therapeutics, In. (the "Company") to all holders of the Company's common stock on October 27, 2017. The subscription rights entitled each recipient to purchase units ("Units"). Each Unit consists of one share of the Company's Series B Preferred Stock (convertible into 3,000 shares of the Company's common stock) and 1,800 warrants, with each warrant representing the right to purchase one share of the Company's common stock. The purchase price for each Unit was $1,000. F3 · derivative.exercise_date: Each warrant entitles the holder to purchase one share of the Company's common stock at an exercise price of $0.3333 per share from the date the Company receives stockholder approval of an amendment to its certificate of incorporation to increase its authorized shares of common stock through May 28, 2020. Read SEC document |
| November 28, 2017 Filed Nov 29, 2017 22:40 UTC | CERENOME, INC. CTYX · Entity 7637 | OtherSeries B Preferred Stock · Derivative | 6 | Not disclosed Strike: $0.33 | Not disclosed |
DisclosureSEC source: 0001209191-17-062903 · doc4.xml · derivative · entry 2 RICKEY DAVID · CIK 0001184566 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6 Underlying: Common Stock · 18,000 shares Expires not disclosed F1 · price: The preferred stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by Cytori Therapeutics, In. (the "Company") to all holders of the Company's common stock on October 27, 2017. The subscription rights entitled each recipient to purchase units ("Units"). Each Unit consists of one share of the Company's Series B Preferred Stock (convertible into 3,000 shares of the Company's common stock) and 1,800 warrants, with each warrant representing the right to purchase one share of the Company's common stock. The purchase price for each Unit was $1,000. F2 · derivative.expiration_date: The Series B Preferred Stock has no expiration date. Read SEC document |
| November 28, 2017 Filed Nov 29, 2017 22:40 UTC | CERENOME, INC. CTYX · Entity 7637 | OtherSubscription Rights (Right to Buy) · Derivative | 6 | Not disclosed Strike: $1,000.00 | Not disclosed |
DisclosureSEC source: 0001209191-17-062903 · doc4.xml · derivative · entry 1 RICKEY DAVID · CIK 0001184566 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: see footnote · Not disclosed shares Expires 2017-11-21 F1 · price: The preferred stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by Cytori Therapeutics, In. (the "Company") to all holders of the Company's common stock on October 27, 2017. The subscription rights entitled each recipient to purchase units ("Units"). Each Unit consists of one share of the Company's Series B Preferred Stock (convertible into 3,000 shares of the Company's common stock) and 1,800 warrants, with each warrant representing the right to purchase one share of the Company's common stock. The purchase price for each Unit was $1,000. F1 · derivative.underlying: The preferred stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by Cytori Therapeutics, In. (the "Company") to all holders of the Company's common stock on October 27, 2017. The subscription rights entitled each recipient to purchase units ("Units"). Each Unit consists of one share of the Company's Series B Preferred Stock (convertible into 3,000 shares of the Company's common stock) and 1,800 warrants, with each warrant representing the right to purchase one share of the Company's common stock. The purchase price for each Unit was $1,000. F1 · derivative.underlying_shares: The preferred stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by Cytori Therapeutics, In. (the "Company") to all holders of the Company's common stock on October 27, 2017. The subscription rights entitled each recipient to purchase units ("Units"). Each Unit consists of one share of the Company's Series B Preferred Stock (convertible into 3,000 shares of the Company's common stock) and 1,800 warrants, with each warrant representing the right to purchase one share of the Company's common stock. The purchase price for each Unit was $1,000. Read SEC document |
| January 26, 2017 Filed Jan 27, 2017 22:47 UTC | CERENOME, INC. CTYX · Entity 7637 | GrantNon-Qualified Stock Option (right to buy)_ · Derivative | 25,000 | $0.00 Strike: $1.56 | $0.00 |
DisclosureSEC source: 0001209191-17-005971 · doc4.xml · derivative · entry 1 RICKEY DAVID · CIK 0001184566 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2027-01-26 F1 · derivative.exercise_price: The reporting person received a non-qualified stock option granted under the Issuer's 2014 Equity Incentive Plan. The exercise price per share to be paid by the reporting person at the time the option is exercised is the closing sale price of the Issuer's Common Stock on the NASDAQ Stock Market as of the date of the grant. The closing sale price on the date of the grant was $1.56. 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.