Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| QUALCOMM INC/DEQCOM · Entity 2852 | Sr VP, Legal Counsel | September 28, 2007 | October 02, 2007 |
| Tracon Pharmaceuticals, Inc.TCON · Entity 91134 | Director | April 19, 2023 | April 21, 2023 |
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.
QUALCOMM INC/DE
Report date September 28, 2007 · Filed October 02, 2007
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom Stock UnitSEC Table II · derivative / convertible security · Conversion / exercise price $1.00 | Indirectby Grantor Trust | 245.229 |
Reported balance
After 2007-09-28 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2007-09-28 · Grant · Acquired 189 · Balance 245.229 F1: The common stock issued under the terms of the Company's Executive Retirement Matching Contribution Plan, a tax conditioned plan, is exempt under Rule 16b-3. The shares are held in a grantor trust and stock is the only permissable form of distribution under the Plan. F2: The rights awarded under the Company's Executive Retirement Matching Contribution Plan will be eligible for distribution upon termination and vest according to the following schedule: 100% at age 65 with acceleration provisions (1) at the rate of 25% per year for each subsequent year of participation, (2) after the individual reaches age 61, or (3) if they have more than 10 years of service. F3: The rights awarded under the Company's Executive Retirement Matching Contribution Plan will be eligible for distribution upon termination. |
Filing footnotes · ownership attribution and instrument terms
F1: The common stock issued under the terms of the Company's Executive Retirement Matching Contribution Plan, a tax conditioned plan, is exempt under Rule 16b-3. The shares are held in a grantor trust and stock is the only permissable form of distribution under the Plan.
F2: The rights awarded under the Company's Executive Retirement Matching Contribution Plan will be eligible for distribution upon termination and vest according to the following schedule: 100% at age 65 with acceleration provisions (1) at the rate of 25% per year for each subsequent year of participation, (2) after the individual reaches age 61, or (3) if they have more than 10 years of service.
F3: The rights awarded under the Company's Executive Retirement Matching Contribution Plan will be eligible for distribution upon termination.
Tracon Pharmaceuticals, Inc.
Report date April 19, 2023 · Filed April 21, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Director Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.82 · Expires 2033-04-18 | Direct | 18,000 |
Reported balance
After 2023-04-19 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-04-19 · Grant · Acquired 18,000 · Balance 18,000 F1: The shares subject to the option shall vest and become exercisable on the earlier of the first anniversary of the grant date set forth in column 3 above or the date of the next annual meeting of the Company's stockholders, subject to the optionee's Continuous Service (as defined in the Company's 2015 Equity Incentive Plan (the "Plan")) and accelerated on the closing of a Change of Control (as defined in the Plan). |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to the option shall vest and become exercisable on the earlier of the first anniversary of the grant date set forth in column 3 above or the date of the next annual meeting of the Company's stockholders, subject to the optionee's Continuous Service (as defined in the Company's 2015 Equity Incentive Plan (the "Plan")) and accelerated on the closing of a Change of Control (as defined in the Plan).
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 |
|---|---|---|---|---|---|---|
| April 19, 2023 Filed Apr 21, 2023 20:52 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | GrantDirector Stock Option (Right to Buy) · Derivative | 18,000 | $0.00 Strike: $1.82 | $0.00 |
DisclosureSEC source: 0001209191-23-025287 · doc4.xml · derivative · entry 1 Lam Carol C. · CIK 0001410236 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,000 Underlying: Common Stock · 18,000 shares Expires 2033-04-18 F1 · derivative.exercise_date: The shares subject to the option shall vest and become exercisable on the earlier of the first anniversary of the grant date set forth in column 3 above or the date of the next annual meeting of the Company's stockholders, subject to the optionee's Continuous Service (as defined in the Company's 2015 Equity Incentive Plan (the "Plan")) and accelerated on the closing of a Change of Control (as defined in the Plan). Read SEC document |
| June 14, 2022 Filed Jun 16, 2022 21:18 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | GrantDirector Stock Option (Right to Buy) · Derivative | 15,750 | $0.00 Strike: $1.30 | $0.00 |
DisclosureSEC source: 0001209191-22-037674 · doc4.xml · derivative · entry 1 Lam Carol C. · CIK 0001410236 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,750 Underlying: Common Stock · 15,750 shares Expires 2032-06-13 F1 · derivative.exercise_date: The shares subject to the option shall vest and become exercisable on the earlier of the first anniversary of the grant date set forth in column 3 above or the date of the next annual meeting of the Company's stockholders, subject to the optionee's Continuous Service (as defined in the Company's 2015 Equity Incentive Plan (the "Plan")) and accelerated on the closing of a Change of Control (as defined in the Plan). Read SEC document |
| October 12, 2021 Filed Oct 13, 2021 20:26 UTC | Tracon Pharmaceuticals, Inc. TCON · Entity 91134 | GrantEmployee Stock Option (Right to Buy) · Derivative | 21,000 | $0.00 Strike: $4.00 | $0.00 |
DisclosureSEC source: 0001209191-21-060435 · doc4.xml · derivative · entry 1 Lam Carol C. · CIK 0001410236 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,000 Underlying: Common Stock · 21,000 shares Expires 2031-10-11 F1 · derivative.exercise_date: One-third of the shares subject to the stock option shall vest on each anniversary of the grant date identified in Column 3 above. Read SEC document |
| September 28, 2007 Filed Oct 2, 2007 20:02 UTC | QUALCOMM INC/DE QCOM · Entity 2852 | GrantPhantom Stock Unit · Derivative | 189 | $41.01 Strike: $1.00 | $7,751.46 |
DisclosureSEC source: 0001234452-07-000222 · edgardoc.xml · derivative · entry 1 Lam Carol C. · CIK 0001410236 · Sr VP, Legal Counsel 10b5-1 filing: Not disclosed Ownership: Indirect · by Grantor Trust Disclosed balance after: 245.229 Underlying: Common Stock · 189 shares Expires not disclosed F1 · security: The common stock issued under the terms of the Company's Executive Retirement Matching Contribution Plan, a tax conditioned plan, is exempt under Rule 16b-3. The shares are held in a grantor trust and stock is the only permissable form of distribution under the Plan. F2 · derivative.exercise_date: The rights awarded under the Company's Executive Retirement Matching Contribution Plan will be eligible for distribution upon termination and vest according to the following schedule: 100% at age 65 with acceleration provisions (1) at the rate of 25% per year for each subsequent year of participation, (2) after the individual reaches age 61, or (3) if they have more than 10 years of service. F3 · derivative.expiration_date: The rights awarded under the Company's Executive Retirement Matching Contribution Plan will be eligible for distribution upon termination. F1 · ownership.nature: The common stock issued under the terms of the Company's Executive Retirement Matching Contribution Plan, a tax conditioned plan, is exempt under Rule 16b-3. The shares are held in a grantor trust and stock is the only permissable form of distribution under the Plan. 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.