Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Opus Genetics, Inc.RNN · Entity 5892 | Director | April 10, 2017 | April 12, 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.
Opus Genetics, Inc.
Report date April 10, 2017 · Filed April 12, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 6,010,000 |
Ending reported balance
After 2017-04-10 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2017-04-10 · Exercise / conversion · Acquired 250,000 · Balance 6,260,000 Row 2 · 2017-04-10 · Sale · Disposed 250,000 · Balance 6,010,000 F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 17, 2016. F2: The price of $0.7015 per share represents a weighted average. The shares were sold in multiple transactions at prices ranging from $0.70 to $0.709 per share, inclusive. The reporting person undertakes to provide upon request of the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price within the range set forth herein. |
| Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $0.31 · Expires 2023-03-01 | Direct | 0 |
Reported balance
After 2017-04-10 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2017-04-10 · Exercise / conversion · Disposed 250,000 · Balance 0 F4: The options vested and became exercisable based on the following schedule: 75,000 on March 1, 2014, 75,000 on March 1, 2015 and 100,000 on March 1, 2016. |
| Common StockSEC Table I · non-derivative | IndirectBy spouse | 500,000 |
Reported balance
Holding disclosure · report date 2017-04-10 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 500,000 F3: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 17, 2016.
F2: The price of $0.7015 per share represents a weighted average. The shares were sold in multiple transactions at prices ranging from $0.70 to $0.709 per share, inclusive. The reporting person undertakes to provide upon request of the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price within the range set forth herein.
F3: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F4: The options vested and became exercisable based on the following schedule: 75,000 on March 1, 2014, 75,000 on March 1, 2015 and 100,000 on March 1, 2016.
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 10, 2017 Filed Apr 12, 2017 17:26 UTC | Opus Genetics, Inc. RNN · Entity 5892 | Exercise / conversionStock Option (right to purchase) · Derivative | 250,000 | $0.00 Strike: $0.31 | $0.00 |
DisclosureSEC source: 0001140361-17-015713 · form4.xml · derivative · entry 4 Ahn Chang Ho · CIK 0001316420 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 250,000 shares Expires 2023-03-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The options vested and became exercisable based on the following schedule: 75,000 on March 1, 2014, 75,000 on March 1, 2015 and 100,000 on March 1, 2016. Read SEC document |
| April 10, 2017 Filed Apr 12, 2017 17:26 UTC | Opus Genetics, Inc. RNN · Entity 5892 | SaleCommon Stock | 250,000 | $0.70 | $175,375.00 |
DisclosureSEC source: 0001140361-17-015713 · form4.xml · nonDerivative · entry 2 Ahn Chang Ho · CIK 0001316420 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,010,000 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 17, 2016. F2 · price: The price of $0.7015 per share represents a weighted average. The shares were sold in multiple transactions at prices ranging from $0.70 to $0.709 per share, inclusive. The reporting person undertakes to provide upon request of the staff of the Securities and Exchange Commission, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price within the range set forth herein. Read SEC document |
| April 10, 2017 Filed Apr 12, 2017 17:26 UTC | Opus Genetics, Inc. RNN · Entity 5892 | Exercise / conversionCommon Stock | 250,000 | $0.31 | $77,500.00 |
DisclosureSEC source: 0001140361-17-015713 · form4.xml · nonDerivative · entry 1 Ahn Chang Ho · CIK 0001316420 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,260,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 20, 2017 Filed Jan 24, 2017 17:42 UTC | Opus Genetics, Inc. RNN · Entity 5892 | GrantRestricted Stock Units · Derivative | 70,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-002733 · form4.xml · derivative · entry 2 Ahn Chang Ho · CIK 0001316420 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 Underlying: Common Stock · 70,000 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. F3 · derivative.exercise_date: The restricted stock units vest in four equal annual installments on the last business day in February, beginning February 28, 2018. F3 · derivative.expiration_date: The restricted stock units vest in four equal annual installments on the last business day in February, beginning February 28, 2018. Read SEC document |
| January 20, 2017 Filed Jan 24, 2017 17:42 UTC | Opus Genetics, Inc. RNN · Entity 5892 | GrantStock Option (right to buy) · Derivative | 330,000 | $0.00 Strike: $0.18 | $0.00 |
DisclosureSEC source: 0001140361-17-002733 · form4.xml · derivative · entry 1 Ahn Chang Ho · CIK 0001316420 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 330,000 Underlying: Common Stock · 330,000 shares Expires 2027-01-20 F1 · derivative.exercise_date: One quarter of the option vests and becomes exercisable on January 20, 2018, and, thereafter, 1/36th of the remaining option vests in equal installments on the first business day of each month until fully vested. 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.