Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| LISATA THERAPEUTICS, INC.CLBS · Entity 7814 | Director | February 07, 2017 | February 08, 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.
LISATA THERAPEUTICS, INC.
Report date February 07, 2017 · Filed February 08, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 172,223 |
Reported balance
After 2017-02-07 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2017-02-07 · Sale · Disposed 6,575 · Balance 172,223 F1: The transactions reported in this line item were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person as of June 3, 2016. F2: Following the reported transactions, 171,023 shares of Common Stock of the Issuer are held by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP"), and 1,200 shares of Common Stock of the Issuer are held by RimAsia Capital Partners Manager, Ltd., a Cayman Islands exempted company ("RimAsia Manager"). F3: RimAsia Capital Partners GP, L.P., a Cayman Islands exempted limited partnership ("RimAsia GP"), is the general partner of RimAsia LP. RimAsia Manager is the Fund Manager of RimAsia GP and the Manager of RimAsia LP. Mr. Wei is the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Capital Partners GP, Ltd. and a director of RimAsia Manager. As a result, Mr. Wei may be deemed to have sole power to vote certain of the securities held by RimAsia LP and RimAsia Manager. Mr. Wei disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, and the inclusion of these securities shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose. |
| Common StockSEC Table I · non-derivative | Direct | 4,300 |
Reported balance
Holding disclosure · report date 2017-02-07 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 4,300 F4: Includes 2,775 shares of unvested restricted stock granted under the Issuer's compensation plans. |
Filing footnotes · ownership attribution and instrument terms
F1: The transactions reported in this line item were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person as of June 3, 2016.
F2: Following the reported transactions, 171,023 shares of Common Stock of the Issuer are held by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP"), and 1,200 shares of Common Stock of the Issuer are held by RimAsia Capital Partners Manager, Ltd., a Cayman Islands exempted company ("RimAsia Manager").
F3: RimAsia Capital Partners GP, L.P., a Cayman Islands exempted limited partnership ("RimAsia GP"), is the general partner of RimAsia LP. RimAsia Manager is the Fund Manager of RimAsia GP and the Manager of RimAsia LP. Mr. Wei is the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Capital Partners GP, Ltd. and a director of RimAsia Manager. As a result, Mr. Wei may be deemed to have sole power to vote certain of the securities held by RimAsia LP and RimAsia Manager. Mr. Wei disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, and the inclusion of these securities shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose.
F4: Includes 2,775 shares of unvested restricted stock granted under the Issuer's compensation plans.
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 |
|---|---|---|---|---|---|---|
| February 07, 2017 Filed Feb 8, 2017 21:15 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | SaleCommon Stock | 6,575 | $4.77 | $31,375.24 |
DisclosureSEC source: 0001144204-17-006741 · v458765_4.xml · nonDerivative · entry 1 Wei Eric · CIK 0001368570 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 172,223 F1 · shares: The transactions reported in this line item were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person as of June 3, 2016. F2 · ownership.nature: Following the reported transactions, 171,023 shares of Common Stock of the Issuer are held by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP"), and 1,200 shares of Common Stock of the Issuer are held by RimAsia Capital Partners Manager, Ltd., a Cayman Islands exempted company ("RimAsia Manager"). F3 · ownership.nature: RimAsia Capital Partners GP, L.P., a Cayman Islands exempted limited partnership ("RimAsia GP"), is the general partner of RimAsia LP. RimAsia Manager is the Fund Manager of RimAsia GP and the Manager of RimAsia LP. Mr. Wei is the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Capital Partners GP, Ltd. and a director of RimAsia Manager. As a result, Mr. Wei may be deemed to have sole power to vote certain of the securities held by RimAsia LP and RimAsia Manager. Mr. Wei disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, and the inclusion of these securities shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose. Read SEC document |
| February 06, 2017 Filed Feb 7, 2017 00:47 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | SaleCommon Stock | 500 | $4.75 | $2,375.00 |
DisclosureSEC source: 0001144204-17-006290 · v458527_4.xml · nonDerivative · entry 4 Wei Eric · CIK 0001368570 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 178,798 F1 · shares: The transactions reported in this line item were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person as of June 3, 2016. F2 · ownership.nature: Following the reported transactions, 177,598 shares of Common Stock of the Issuer are held by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP"), and 1,200 shares of Common Stock of the Issuer are held by RimAsia Capital Partners Manager, Ltd., a Cayman Islands exempted company ("RimAsia Manager"). F3 · ownership.nature: RimAsia Capital Partners GP, L.P., a Cayman Islands exempted limited partnership ("RimAsia GP"), is the general partner of RimAsia LP. RimAsia Manager is the Fund Manager of RimAsia GP and the Manager of RimAsia LP. Mr. Wei is the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Capital Partners GP, Ltd. and a director of RimAsia Manager. As a result, Mr. Wei may be deemed to have sole power to vote certain of the securities held by RimAsia LP and RimAsia Manager. Mr. Wei disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, and the inclusion of these securities shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose. Read SEC document |
| February 03, 2017 Filed Feb 7, 2017 00:47 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | SaleCommon Stock | 1,525 | $4.76 | $7,256.26 |
DisclosureSEC source: 0001144204-17-006290 · v458527_4.xml · nonDerivative · entry 3 Wei Eric · CIK 0001368570 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 179,298 F1 · shares: The transactions reported in this line item were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person as of June 3, 2016. F2 · ownership.nature: Following the reported transactions, 177,598 shares of Common Stock of the Issuer are held by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP"), and 1,200 shares of Common Stock of the Issuer are held by RimAsia Capital Partners Manager, Ltd., a Cayman Islands exempted company ("RimAsia Manager"). F3 · ownership.nature: RimAsia Capital Partners GP, L.P., a Cayman Islands exempted limited partnership ("RimAsia GP"), is the general partner of RimAsia LP. RimAsia Manager is the Fund Manager of RimAsia GP and the Manager of RimAsia LP. Mr. Wei is the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Capital Partners GP, Ltd. and a director of RimAsia Manager. As a result, Mr. Wei may be deemed to have sole power to vote certain of the securities held by RimAsia LP and RimAsia Manager. Mr. Wei disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, and the inclusion of these securities shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose. Read SEC document |
| February 02, 2017 Filed Feb 7, 2017 00:47 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | SaleCommon Stock | 1,400 | $4.75 | $6,650.98 |
DisclosureSEC source: 0001144204-17-006290 · v458527_4.xml · nonDerivative · entry 2 Wei Eric · CIK 0001368570 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 180,823 F1 · shares: The transactions reported in this line item were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person as of June 3, 2016. F2 · ownership.nature: Following the reported transactions, 177,598 shares of Common Stock of the Issuer are held by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP"), and 1,200 shares of Common Stock of the Issuer are held by RimAsia Capital Partners Manager, Ltd., a Cayman Islands exempted company ("RimAsia Manager"). F3 · ownership.nature: RimAsia Capital Partners GP, L.P., a Cayman Islands exempted limited partnership ("RimAsia GP"), is the general partner of RimAsia LP. RimAsia Manager is the Fund Manager of RimAsia GP and the Manager of RimAsia LP. Mr. Wei is the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Capital Partners GP, Ltd. and a director of RimAsia Manager. As a result, Mr. Wei may be deemed to have sole power to vote certain of the securities held by RimAsia LP and RimAsia Manager. Mr. Wei disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, and the inclusion of these securities shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose. Read SEC document |
| February 02, 2017 Filed Feb 7, 2017 00:47 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | SaleCommon Stock | 5,000 | $4.51 | $22,547.00 |
DisclosureSEC source: 0001144204-17-006290 · v458527_4.xml · nonDerivative · entry 1 Wei Eric · CIK 0001368570 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 182,223 F1 · shares: The transactions reported in this line item were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person as of June 3, 2016. F2 · ownership.nature: Following the reported transactions, 177,598 shares of Common Stock of the Issuer are held by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP"), and 1,200 shares of Common Stock of the Issuer are held by RimAsia Capital Partners Manager, Ltd., a Cayman Islands exempted company ("RimAsia Manager"). F3 · ownership.nature: RimAsia Capital Partners GP, L.P., a Cayman Islands exempted limited partnership ("RimAsia GP"), is the general partner of RimAsia LP. RimAsia Manager is the Fund Manager of RimAsia GP and the Manager of RimAsia LP. Mr. Wei is the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Capital Partners GP, Ltd. and a director of RimAsia Manager. As a result, Mr. Wei may be deemed to have sole power to vote certain of the securities held by RimAsia LP and RimAsia Manager. Mr. Wei disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, and the inclusion of these securities shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose. Read SEC document |
| January 09, 2017 Filed Jan 31, 2017 23:51 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | GrantOptions to Purchase Common Stock · Derivative | 2,750 | $0.00 Strike: $3.54 | $0.00 |
DisclosureSEC source: 0001144204-17-005185 · v458004_4.xml · derivative · entry 3 Wei Eric · CIK 0001368570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,750 Underlying: Common Stock · 2,750 shares Expires 2027-01-09 Read SEC document |
| January 09, 2017 Filed Jan 31, 2017 23:51 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | GrantCommon Stock | 1,650 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-17-005185 · v458004_4.xml · nonDerivative · entry 1 Wei Eric · CIK 0001368570 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,300 F1 · shares: Represents 1,650 shares of restricted stock granted under the Issuer's 2015 Equity Compensation Plan that will vest on January 9, 2018. F2 · balance_after: Includes 2,775 shares of unvested restricted stock granted under the Issuer's compensation plans. Read SEC document |
| November 21, 2016 Filed Nov 25, 2016 11:16 UTC | LISATA THERAPEUTICS, INC. CLBS · Entity 7814 | SaleCommon Stock | 500 | $4.20 | $2,100.00 |
DisclosureSEC source: 0001144204-16-136487 · v453890_4.xml · nonDerivative · entry 1 Wei Eric · CIK 0001368570 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,964,228 F1 · ownership.nature: Following the reported transactions, 1,952,228 shares of Common Stock of the Issuer are held by RimAsia Capital Partners L.P., a Cayman Islands exempted limited partnership ("RimAsia LP"), and 12,000 shares of Common Stock of the Issuer are held by RimAsia Capital Partners Manager, Ltd., a Cayman Islands exempted company ("RimAsia Manager"). F2 · ownership.nature: RimAsia Capital Partners GP, L.P., a Cayman Islands exempted limited partnership ("RimAsia GP"), is the general partner of RimAsia LP. RimAsia Manager is the Fund Manager of RimAsia GP and the Manager of RimAsia LP. Mr. Wei is the managing partner of RimAsia LP, an indirect partner of RimAsia GP, a director of RimAsia Capital Partners GP, Ltd. and a director of RimAsia Manager. As a result, Mr. Wei may be deemed to have sole power to vote certain of the securities held by RimAsia LP and RimAsia Manager. Mr. Wei disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, and the inclusion of these securities shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 of the Securities Exchange Act or for any other purpose. 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.