Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Ambrx Biopharma Inc.AMAM · Entity 109604 | Director | June 07, 2023 | June 09, 2023 |
| Eton Pharmaceuticals, Inc.ETON · Entity 4598 | Director | August 28, 2026 | August 31, 2026 |
| FF EAI Robotics Ecosystem Inc.RTTR · Entity 7776 | Director | January 15, 2020 | January 17, 2020 |
| International Stem Cell CORPISCO · Entity 8432 | Director | September 16, 2026 | September 18, 2026 |
| MABVAX THERAPEUTICS HOLDINGS, INC.MBVX · Entity 167746 | Director | April 02, 2018 | April 04, 2018 |
| SEELOS THERAPEUTICS, INC.APRI · Entity 93662 | Director | January 04, 2018 | January 08, 2018 |
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.
Ambrx Biopharma Inc.
Report date June 07, 2023 · Filed June 09, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 85,000 |
Reported balance
After 2023-06-07 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2023-06-07 · Grant · Acquired 85,000 · Balance 85,000 F1: The Ordinary Shares of the Issuer may be represented by ADSs. Each ADS represents seven (7) Ordinary Shares of the Issuer. F2: Represents grant of Restricted Stock Units (the "RSUs") payable solely in Ordinary Shares of the Issuer that vest as follows: on the earlier of (i) the one year anniversary of the date of grant and (ii) the day before the next annual general meeting. |
Filing footnotes · ownership attribution and instrument terms
F1: The Ordinary Shares of the Issuer may be represented by ADSs. Each ADS represents seven (7) Ordinary Shares of the Issuer.
F2: Represents grant of Restricted Stock Units (the "RSUs") payable solely in Ordinary Shares of the Issuer that vest as follows: on the earlier of (i) the one year anniversary of the date of grant and (ii) the day before the next annual general meeting.
Eton Pharmaceuticals, Inc.
Report date August 28, 2026 · Filed August 31, 2026 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 72,245 |
Last balance in matching sequence
After 2026-08-28 transaction · row 5
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
5 source rowsRow 1 · 2026-08-28 · Exercise / conversion · Acquired 50,000 · Balance 109,745 Row 2 · 2026-08-28 · Sale · Disposed 36,387 · Balance 73,358 F1: The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price. F2: The shares were sold in multiple trades at prices ranging from $58.50 to $58.97. The price reported above reflects the weighted average sales price. Row 3 · 2026-08-28 · Sale · Disposed 13,485 · Balance 59,873 F1: The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price. F4: The shares were sold in multiple trades at prices ranging from $60.00 to $61.00. The price reported above reflects the weighted average sales price. Row 4 · 2026-08-28 · Sale · Disposed 128 · Balance 59,745 F1: The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price. F5: The shares were sold in multiple trades at prices ranging from $61.10 to $61.98. The price reported above reflects the weighted average sales price. Row 5 · 2026-08-28 · Exercise / conversion · Acquired 12,500 · Balance 72,245 |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $3.78 · Expires 2032-02-06 | Direct | 0 |
Reported balance
After 2026-08-28 transaction · row 6
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 6 · 2026-08-28 · Exercise / conversion · Disposed 50,000 · Balance 0 F3: The shares subject to the option vested in 48 equal monthly installments from the date of grant (2-07-2022) until fully vested. |
| Employee Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $7.31 · Expires 2029-02-19 | Direct | 0 |
Reported balance
After 2026-08-28 transaction · row 7
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 7 · 2026-08-28 · Exercise / conversion · Acquired 12,500 · Balance 0 F6: The shares subject to the option vested in four equal quarterly installments from the date of grant (02-20-2019) until fully vested. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person will provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased or sold at each separate price.
F2: The shares were sold in multiple trades at prices ranging from $58.50 to $58.97. The price reported above reflects the weighted average sales price.
F3: The shares subject to the option vested in 48 equal monthly installments from the date of grant (2-07-2022) until fully vested.
F4: The shares were sold in multiple trades at prices ranging from $60.00 to $61.00. The price reported above reflects the weighted average sales price.
F5: The shares were sold in multiple trades at prices ranging from $61.10 to $61.98. The price reported above reflects the weighted average sales price.
F6: The shares subject to the option vested in four equal quarterly installments from the date of grant (02-20-2019) until fully vested.
FF EAI Robotics Ecosystem Inc.
Report date January 15, 2020 · Filed January 17, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Non-qualified Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.23 · Expires 2030-01-15 | Direct | 12,000 |
Reported balance
After 2020-01-15 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-01-15 · Grant · Acquired 12,000 · Balance 12,000 F1: The option vests in twelve (12) equal monthly installments begining on February 15, 2020 with the balance vesting on the 15th day of each calendar month thereafter until vested in full. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests in twelve (12) equal monthly installments begining on February 15, 2020 with the balance vesting on the 15th day of each calendar month thereafter until vested in full.
International Stem Cell CORP
Report date September 16, 2026 · Filed September 18, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $0.12 · Expires 2034-06-11 | Direct | 0 |
Reported balance
After 2026-09-16 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-09-16 · Disposition to issuer · Disposed 30,000 · Balance 0 F1: The shares subject to the option fully vested on 06/11/2025 from the date of grant (06-11-2024). |
Filing footnotes · ownership attribution and instrument terms
F1: The shares subject to the option fully vested on 06/11/2025 from the date of grant (06-11-2024).
MABVAX THERAPEUTICS HOLDINGS, INC.
Report date April 02, 2018 · Filed April 04, 2018 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 23,063 |
Reported balance
After 2018-04-02 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2018-04-02 · Exercise / conversion · Acquired 513 · Balance 23,063 F1: Represents conversion of restricted stock units into common stock upon vesting of 1/3 of such units granted on April 2, 2015. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2018-04-02 transaction · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · 2018-04-02 · Exercise / conversion · Disposed 513 · Balance 0 F2: Each restricted stock unit is the economic equivalent of one share of common stock of the Issuer. F3: Restricted Stock Units vest over 3 years from April 2, 2015, 1/3 on each anniversary of the date of grant, subject to the Reporting Person's continued employment or service with the Issuer on each such vesting date |
Filing footnotes · ownership attribution and instrument terms
F1: Represents conversion of restricted stock units into common stock upon vesting of 1/3 of such units granted on April 2, 2015.
F2: Each restricted stock unit is the economic equivalent of one share of common stock of the Issuer.
F3: Restricted Stock Units vest over 3 years from April 2, 2015, 1/3 on each anniversary of the date of grant, subject to the Reporting Person's continued employment or service with the Issuer on each such vesting date
SEELOS THERAPEUTICS, INC.
Report date January 04, 2018 · Filed January 08, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.11 · Expires 2028-01-04 | Direct | 35,000 |
Reported balance
After 2018-01-04 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-01-04 · Grant · Acquired 35,000 · Balance 35,000 F1: The options to purchase shares of common stock were issued to the Reporting Person, a non-employee director of Issuer, as an annual stock option grant for his service as a director of the Issuer. F2: The options shall vest with respect to 1/12th of the underlying shares monthly, commencing with the first monthly vesting date of February 4, 2018, so that such options are fully vested on January 4, 2019. |
Filing footnotes · ownership attribution and instrument terms
F1: The options to purchase shares of common stock were issued to the Reporting Person, a non-employee director of Issuer, as an annual stock option grant for his service as a director of the Issuer.
F2: The options shall vest with respect to 1/12th of the underlying shares monthly, commencing with the first monthly vesting date of February 4, 2018, so that such options are fully vested on January 4, 2019.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Ambrx Biopharma, Inc.
Report date March 07, 2024 · Filed March 07, 2024
Section 16 reporting ended · disclosed 2024-03-07. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2024-03-07 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2024-03-07 · Disposition to issuer · Disposed 12,142 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 5, 2024, among the Issuer, Johnson & Johnson ("J&J"), and Charm Merger Sub, Inc., a wholly owned subsidiary of J&J ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger"), effective as of March 7, 2024 (such date and time of such Merger, the "Effective Time"), with the Issuer surviving the Merger as a wholly owned subsidiary of J&J. F2: Each of these restricted stock units ("RSUs") represents a contingent right to receive one share of common stock of the Issuer ("Company Common Stock"). F4: Pursuant to the Merger Agreement, at the Effective Time, each of these RSUs that was outstanding as of immediately prior to the Effective Time was cancelled and the Reporting Person was entitled to receive the Merger Consideration, without interest and less any applicable withholding taxes, in respect of each such RSU. F3: These RSUs vest as follows: on the earlier of (i) the one year anniversary of the grant date of June 7, 2023, and (ii) the day before the next annual general meeting. |
| Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $1.96 · Expires 2032-02-02 | Direct | 0 |
Reported balance
After 2024-03-07 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2024-03-07 · Disposition to issuer · Disposed 30,000 · Balance 0 F6: Pursuant to the Merger Agreement, at the Effective Time, each Company Option that was outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested, with a per share exercise price ("Per Share Exercise Price") that was less than the Merger Consideration, was cancelled and converted into the right to receive an amount in cash (without interest and less any applicable withholding taxes) equal to the product of (i) the aggregate number of shares of Company Common Stock underlying such Company Option immediately prior to the Effective Time, and (ii) the excess of (A) the Merger Consideration over (B) the Per Share Exercise Price of such Company Option. Each Company Option that had a Per Share Exercise Price that was equal to or exceeded the amount of the Merger Consideration at the Effective Time was cancelled for no consideration. F5: The Company Common Stock subject to the options to purchase shares of Company Common Stock (each, a "Company Option") vest in thirty-six (36) equal monthly installments following February 2, 2022. |
| Option to Purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $1.96 · Expires 2032-07-07 | Direct | 0 |
Reported balance
After 2024-03-07 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2024-03-07 · Disposition to issuer · Disposed 15,000 · Balance 0 F6: Pursuant to the Merger Agreement, at the Effective Time, each Company Option that was outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested, with a per share exercise price ("Per Share Exercise Price") that was less than the Merger Consideration, was cancelled and converted into the right to receive an amount in cash (without interest and less any applicable withholding taxes) equal to the product of (i) the aggregate number of shares of Company Common Stock underlying such Company Option immediately prior to the Effective Time, and (ii) the excess of (A) the Merger Consideration over (B) the Per Share Exercise Price of such Company Option. Each Company Option that had a Per Share Exercise Price that was equal to or exceeded the amount of the Merger Consideration at the Effective Time was cancelled for no consideration. F7: These Company Options are fully vested and exercisable. |
Filing footnotes · ownership attribution and instrument terms
F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 5, 2024, among the Issuer, Johnson & Johnson ("J&J"), and Charm Merger Sub, Inc., a wholly owned subsidiary of J&J ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger"), effective as of March 7, 2024 (such date and time of such Merger, the "Effective Time"), with the Issuer surviving the Merger as a wholly owned subsidiary of J&J.
F2: Each of these restricted stock units ("RSUs") represents a contingent right to receive one share of common stock of the Issuer ("Company Common Stock").
F3: These RSUs vest as follows: on the earlier of (i) the one year anniversary of the grant date of June 7, 2023, and (ii) the day before the next annual general meeting.
F4: Pursuant to the Merger Agreement, at the Effective Time, each of these RSUs that was outstanding as of immediately prior to the Effective Time was cancelled and the Reporting Person was entitled to receive the Merger Consideration, without interest and less any applicable withholding taxes, in respect of each such RSU.
F5: The Company Common Stock subject to the options to purchase shares of Company Common Stock (each, a "Company Option") vest in thirty-six (36) equal monthly installments following February 2, 2022.
F6: Pursuant to the Merger Agreement, at the Effective Time, each Company Option that was outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested, with a per share exercise price ("Per Share Exercise Price") that was less than the Merger Consideration, was cancelled and converted into the right to receive an amount in cash (without interest and less any applicable withholding taxes) equal to the product of (i) the aggregate number of shares of Company Common Stock underlying such Company Option immediately prior to the Effective Time, and (ii) the excess of (A) the Merger Consideration over (B) the Per Share Exercise Price of such Company Option. Each Company Option that had a Per Share Exercise Price that was equal to or exceeded the amount of the Merger Consideration at the Effective Time was cancelled for no consideration.
F7: These Company Options are fully vested and exercisable.
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 20, 2019 Filed Mar 8, 2019 21:34 UTC | Eton Pharmaceuticals, Inc. ETON · Entity 4598 | GrantStock option (right to buy) · Derivative | 12,500 | $0.00 Strike: $7.31 | $0.00 |
DisclosureSEC source: 0001209191-19-018118 · doc4.xml · derivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 12,500 shares Expires 2029-02-19 F1 · derivative.exercise_date: The shares subject to the option shall vest on a quarterly basis over 12 months from the date of grant until fully vested and exercisable on February 20, 2020. Read SEC document |
| February 06, 2019 Filed Feb 8, 2019 21:13 UTC | FF EAI Robotics Ecosystem Inc. RTTR · Entity 7776 | GrantNon-qualified Stock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $0.60 | $0.00 |
DisclosureSEC source: 0001382963-19-000015 · edgar.xml · derivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2029-02-06 F1 · derivative.exercise_date: The option vests in twelve (12) equal monthly installments begining on March 6, 2019 with the balance vesting on the 6th day of each calendar month thereafter until vested in full. Read SEC document |
| November 15, 2018 Filed Nov 16, 2018 00:13 UTC | Eton Pharmaceuticals, Inc. ETON · Entity 4598 | PurchaseCommon Stock | 5,000 | $6.00 | $30,000.00 |
DisclosureSEC source: 0001209191-18-058825 · doc4.xml · nonDerivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,745 Read SEC document |
| June 21, 2018 Filed Jun 25, 2018 20:18 UTC | International Stem Cell CORP ISCO.OB · Entity 8432 | GrantStock Options (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $1.66 | $0.00 |
DisclosureSEC source: 0001683168-18-001778 · ownership.xml · derivative · entry 3 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2028-06-21 F3 · derivative.exercise_date: Stock option granted as part of compensation for non-employee directors. Options vest fully at the earlier of (i) June 21, 2019 or (ii) the date of the 2019 Annual Meeting of Stockholders, with vesting accelerated for all shares in the event of a change in control. Read SEC document |
| June 21, 2018 Filed Jun 25, 2018 20:18 UTC | International Stem Cell CORP ISCO.OB · Entity 8432 | GrantStock Options (Right to Buy) · Derivative | 38,462 | $0.00 Strike: $1.66 | $0.00 |
DisclosureSEC source: 0001683168-18-001778 · ownership.xml · derivative · entry 2 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,462 Underlying: Common Stock · 38,462 shares Expires 2028-06-21 F2 · derivative.exercise_date: Stock option granted as part of compensation for non-employee directors. Options vest in four equal quarterly increments, beginning 9/21/2018. Read SEC document |
| June 21, 2018 Filed Jun 25, 2018 20:18 UTC | International Stem Cell CORP ISCO.OB · Entity 8432 | GrantStock Options (Right to Buy) · Derivative | 8,655 | $0.00 Strike: $1.66 | $0.00 |
DisclosureSEC source: 0001683168-18-001778 · ownership.xml · derivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,655 Underlying: Common Stock · 8,655 shares Expires 2028-06-21 F1 · derivative.exercise_date: Stock option granted as part of compensation for non-employee directors. Options vest fully at time of grant. Read SEC document |
| April 02, 2018 Filed Apr 3, 2018 18:26 UTC | MABVAX THERAPEUTICS HOLDINGS, INC. MBVX · Entity 167746 | Exercise / conversionRestricted Stock Unit · Derivative | 513 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-18-000541 · form4-04032018_030429.xml · derivative · entry 2 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 513 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 is the economic equivalent of one share of common stock of the Issuer. F2 · price: Each restricted stock unit is the economic equivalent of one share of common stock of the Issuer. F3 · derivative.exercise_date: Restricted Stock Units vest over 3 years from April 2, 2015, 1/3 on each anniversary of the date of grant, subject to the Reporting Person's continued employment or service with the Issuer on each such vesting date F3 · derivative.expiration_date: Restricted Stock Units vest over 3 years from April 2, 2015, 1/3 on each anniversary of the date of grant, subject to the Reporting Person's continued employment or service with the Issuer on each such vesting date Read SEC document |
| April 02, 2018 Filed Apr 3, 2018 18:26 UTC | MABVAX THERAPEUTICS HOLDINGS, INC. MBVX · Entity 167746 | Exercise / conversionCommon Stock | 513 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-18-000541 · form4-04032018_030429.xml · nonDerivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,462 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: Represents conversion of restricted stock units into common stock upon vesting of 1/3 of such units granted on April 2, 2015. F1 · price: Represents conversion of restricted stock units into common stock upon vesting of 1/3 of such units granted on April 2, 2015. Read SEC document |
| April 02, 2018 Filed Apr 4, 2018 06:13 UTC Amendment | MABVAX THERAPEUTICS HOLDINGS, INC. MBVX · Entity 167746 | Exercise / conversionRestricted Stock Unit · Derivative | 513 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-18-000546 · form4a-04042018_030422.xml · derivative · entry 2 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 513 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 is the economic equivalent of one share of common stock of the Issuer. F2 · price: Each restricted stock unit is the economic equivalent of one share of common stock of the Issuer. F3 · derivative.exercise_date: Restricted Stock Units vest over 3 years from April 2, 2015, 1/3 on each anniversary of the date of grant, subject to the Reporting Person's continued employment or service with the Issuer on each such vesting date F3 · derivative.expiration_date: Restricted Stock Units vest over 3 years from April 2, 2015, 1/3 on each anniversary of the date of grant, subject to the Reporting Person's continued employment or service with the Issuer on each such vesting date Read SEC document |
| April 02, 2018 Filed Apr 4, 2018 06:13 UTC Amendment | MABVAX THERAPEUTICS HOLDINGS, INC. MBVX · Entity 167746 | Exercise / conversionCommon Stock | 513 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-18-000546 · form4a-04042018_030422.xml · nonDerivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,063 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: Represents conversion of restricted stock units into common stock upon vesting of 1/3 of such units granted on April 2, 2015. F1 · price: Represents conversion of restricted stock units into common stock upon vesting of 1/3 of such units granted on April 2, 2015. Read SEC document |
| March 30, 2018 Filed Apr 3, 2018 22:36 UTC | International Stem Cell CORP ISCO.OB · Entity 8432 | GrantStock Option (Right to Buy) · Derivative | 11,054 | $0.00 Strike: $1.47 | $0.00 |
DisclosureSEC source: 0001683168-18-000918 · maier_frm4.xml · derivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,054 Underlying: Common Stock · 11,054 shares Expires 2028-03-30 F1 · derivative.exercise_date: Stock option granted as part of compensation for non-employee directors. Options vest fully at time of grant. Q1 2018. Read SEC document |
| February 21, 2018 Filed Feb 23, 2018 15:43 UTC | MABVAX THERAPEUTICS HOLDINGS, INC. MBVX · Entity 167746 | GrantOption to Purchase Common Stock · Derivative | 35,000 | $0.00 Strike: $2.04 | $0.00 |
DisclosureSEC source: 0001415889-18-000306 · form4-02232018_120224.xml · derivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2028-02-21 F1 · date: Option award is partial compensation for service as a director. F1 · price: Option award is partial compensation for service as a director. F2 · derivative.exercise_date: The Option Shares shall vest on a monthly basis after the commencement date until fully vested on the one year anniversary of the commencement date. Read SEC document |
| January 24, 2018 Filed Jan 24, 2018 19:09 UTC | MABVAX THERAPEUTICS HOLDINGS, INC. MBVX · Entity 167746 | SaleCommon Stock | 17,999 | $0.84 | $15,119.16 |
DisclosureSEC source: 0001415889-18-000116 · form4-01242018_040150.xml · nonDerivative · entry 2 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,314 F1 · kind: Represents a portion of the number of shares required to be sold by the reporting person to cover estimated tax obligations in connection with the vesting of the RSUs of the reporting person. This sale is mandated by the Issuer's election, as approved by the Board of Directors, under the equity incentive plan to require satisfaction of estimated tax obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. F3 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.82 to $0.86 per share, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| January 23, 2018 Filed Jan 24, 2018 19:09 UTC | MABVAX THERAPEUTICS HOLDINGS, INC. MBVX · Entity 167746 | SaleCommon Stock | 17,449 | $0.87 | $15,180.63 |
DisclosureSEC source: 0001415889-18-000116 · form4-01242018_040150.xml · nonDerivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,313 F1 · kind: Represents a portion of the number of shares required to be sold by the reporting person to cover estimated tax obligations in connection with the vesting of the RSUs of the reporting person. This sale is mandated by the Issuer's election, as approved by the Board of Directors, under the equity incentive plan to require satisfaction of estimated tax obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. F2 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.85 to $0.89 per share, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| January 23, 2018 Filed Jan 26, 2018 02:23 UTC | FF EAI Robotics Ecosystem Inc. RTTR · Entity 7776 | GrantNon-qualified Stock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $0.34 | $0.00 |
DisclosureSEC source: 0001382963-18-000019 · edgar.xml · derivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2018-01-23 F1 · derivative.exercise_date: The option vests in twelve (12) equal monthly installments begining on February 23, 2018 with the balance vesting on the 23rd day of each calendar month thereafter until vested in full. Read SEC document |
| January 08, 2018 Filed Jan 12, 2018 17:22 UTC | MABVAX THERAPEUTICS HOLDINGS, INC. MBVX · Entity 167746 | Exercise / conversionRestricted Stock Unit · Derivative | 100,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-18-000049 · form4-01122018_020109.xml · derivative · entry 2 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,543 Underlying: Common Stock · 100,000 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 is the economic equivalent of one share of common stock of the Issuer. F2 · price: Each restricted stock unit is the economic equivalent of one share of common stock of the Issuer. F3 · derivative.exercise_date: Restricted Stock Units vested on January 8, 2018, subject to the Reporting Person's continued employment or service with the Issuer on each such vesting date. F3 · derivative.expiration_date: Restricted Stock Units vested on January 8, 2018, subject to the Reporting Person's continued employment or service with the Issuer on each such vesting date. Read SEC document |
| January 08, 2018 Filed Jan 12, 2018 17:22 UTC | MABVAX THERAPEUTICS HOLDINGS, INC. MBVX · Entity 167746 | Exercise / conversionCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-18-000049 · form4-01122018_020109.xml · nonDerivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 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. F1 · kind: Represents conversion of restricted stock units into common stock upon vesting of such units granted on September 15, 2017 and October 2, 2017. F1 · price: Represents conversion of restricted stock units into common stock upon vesting of such units granted on September 15, 2017 and October 2, 2017. Read SEC document |
| January 04, 2018 Filed Jan 8, 2018 16:02 UTC | SEELOS THERAPEUTICS, INC. APRI · Entity 93662 | GrantStock Option (right to buy) · Derivative | 35,000 | $0.00 Strike: $2.11 | $0.00 |
DisclosureSEC source: 0001017491-18-000016 · wf-form4_151544534265460.xml · derivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2028-01-04 F1 · kind: The options to purchase shares of common stock were issued to the Reporting Person, a non-employee director of Issuer, as an annual stock option grant for his service as a director of the Issuer. F2 · derivative.exercise_date: The options shall vest with respect to 1/12th of the underlying shares monthly, commencing with the first monthly vesting date of February 4, 2018, so that such options are fully vested on January 4, 2019. Read SEC document |
| December 29, 2017 Filed Jan 2, 2018 22:18 UTC | International Stem Cell CORP ISCO.OB · Entity 8432 | GrantStock Option (Right to Buy) · Derivative | 10,350 | $0.00 Strike: $1.60 | $0.00 |
DisclosureSEC source: 0001683168-18-000017 · maier_f4.xml · derivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,350 Underlying: Common Stock · 10,350 shares Expires 2027-12-29 F1 · derivative.exercise_date: Common Stock granted as part of compensation for non-employee directors, with vesting at the time of grant: Q4 2017. Read SEC document |
| October 02, 2017 Filed Oct 4, 2017 06:23 UTC | MABVAX THERAPEUTICS HOLDINGS, INC. MBVX · Entity 167746 | GrantRestricted Stock Unit · Derivative | 75,790 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-17-001616 · form4-10042017_031033.xml · derivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,790 Underlying: Common Stock · 75,790 shares Expires not disclosed F1 · derivative.exercise_price: Grants of restricted stock units convert on a one-for-one basis into common stock and vest on January 8, 2018 or earlier under provisions of the Company's current equity incentive plan and individual employment agreements. Grants to management and board of directors are intended to provide incentives to remain at the company during activities related to evaluation of strategic options with an investment advisory bank intended on improving shareholder value and in consideration for potential success resulting from those efforts. F1 · price: Grants of restricted stock units convert on a one-for-one basis into common stock and vest on January 8, 2018 or earlier under provisions of the Company's current equity incentive plan and individual employment agreements. Grants to management and board of directors are intended to provide incentives to remain at the company during activities related to evaluation of strategic options with an investment advisory bank intended on improving shareholder value and in consideration for potential success resulting from those efforts. F1 · derivative.exercise_date: Grants of restricted stock units convert on a one-for-one basis into common stock and vest on January 8, 2018 or earlier under provisions of the Company's current equity incentive plan and individual employment agreements. Grants to management and board of directors are intended to provide incentives to remain at the company during activities related to evaluation of strategic options with an investment advisory bank intended on improving shareholder value and in consideration for potential success resulting from those efforts. F1 · derivative.expiration_date: Grants of restricted stock units convert on a one-for-one basis into common stock and vest on January 8, 2018 or earlier under provisions of the Company's current equity incentive plan and individual employment agreements. Grants to management and board of directors are intended to provide incentives to remain at the company during activities related to evaluation of strategic options with an investment advisory bank intended on improving shareholder value and in consideration for potential success resulting from those efforts. Read SEC document |
| September 29, 2017 Filed Oct 2, 2017 23:49 UTC | International Stem Cell CORP ISCO.OB · Entity 8432 | GrantStock Option (Right to Buy) · Derivative | 8,830 | $0.00 Strike: $1.80 | $0.00 |
DisclosureSEC source: 0001683168-17-002550 · maier_f4.xml · derivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,830 Underlying: Common Stock · 8,830 shares Expires 2027-09-29 F1 · derivative.exercise_date: Stock option granted as part of compensation for non-employee directors. Options vest fully at time of grant: Q3 2017. Read SEC document |
| September 15, 2017 Filed Sep 18, 2017 17:20 UTC | MABVAX THERAPEUTICS HOLDINGS, INC. MBVX · Entity 167746 | GrantRestricted Stock Unit · Derivative | 24,210 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-17-001503 · form4-09182017_050919.xml · derivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,210 Underlying: Common Stock · 24,210 shares Expires not disclosed F1 · derivative.exercise_price: Grants of restricted stock units convert on a one-for-one basis into common stock and vest on January 8, 2018 or earlier under provisions of the Company's current equity incentive plan and individual employment agreements. Grants to management and board of directors are intended to provide incentives to remain at the company during activities related to evaluation of strategic options with an investment advisory bank intended on improving shareholder value and in consideration for potential success resulting from those efforts. F1 · price: Grants of restricted stock units convert on a one-for-one basis into common stock and vest on January 8, 2018 or earlier under provisions of the Company's current equity incentive plan and individual employment agreements. Grants to management and board of directors are intended to provide incentives to remain at the company during activities related to evaluation of strategic options with an investment advisory bank intended on improving shareholder value and in consideration for potential success resulting from those efforts. F1 · derivative.exercise_date: Grants of restricted stock units convert on a one-for-one basis into common stock and vest on January 8, 2018 or earlier under provisions of the Company's current equity incentive plan and individual employment agreements. Grants to management and board of directors are intended to provide incentives to remain at the company during activities related to evaluation of strategic options with an investment advisory bank intended on improving shareholder value and in consideration for potential success resulting from those efforts. F1 · derivative.expiration_date: Grants of restricted stock units convert on a one-for-one basis into common stock and vest on January 8, 2018 or earlier under provisions of the Company's current equity incentive plan and individual employment agreements. Grants to management and board of directors are intended to provide incentives to remain at the company during activities related to evaluation of strategic options with an investment advisory bank intended on improving shareholder value and in consideration for potential success resulting from those efforts. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 21:48 UTC | International Stem Cell CORP ISCO.OB · Entity 8432 | GrantStock Option (Right to Buy) · Derivative | 14,254 | $0.00 Strike: $1.20 | $0.00 |
DisclosureSEC source: 0001683168-17-001723 · maier_frm4.xml · derivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,254 Underlying: Common Stock · 14,254 shares Expires 2027-06-30 F1 · derivative.exercise_date: Stock option granted as part of compensation for non-employee directors. Options vest fully at time of grant. Q2 2017 Read SEC document |
| June 12, 2017 Filed Jun 14, 2017 16:07 UTC | MABVAX THERAPEUTICS HOLDINGS, INC. MBVX · Entity 167746 | GrantOption to Purchase Common Stock · Derivative | 20,000 | $1.57 Strike: $1.57 | $31,400.00 |
DisclosureSEC source: 0001415889-17-000979 · form4-06142017_010600.xml · derivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2027-06-12 F1 · kind: Automatic Annual Grant to Non-Employee Director pursuant to the Issuer's Non-Employee Director Compensation Policy. F2 · derivative.exercise_date: Option vests and becomes exercisable one year after the date of grant, subject to recipient's continued service on the Company's Board of Directors. Read SEC document |
| May 31, 2017 Filed Jun 2, 2017 17:20 UTC | International Stem Cell CORP ISCO.OB · Entity 8432 | GrantStock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $1.10 | $0.00 |
DisclosureSEC source: 0001683168-17-001478 · maier_f4.xml · derivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2027-05-31 F1 · derivative.exercise_date: Stock option granted as part of compensation for non-employee directors. Options vest fully on the earlier of (i) May 31, 2018 or (ii) the date of the 2018 Annual Meeting of Stockholders, with vesting accelerated for all shares in the event of a change in control. All grants have an exercise price of $1.10 per share. Read SEC document |
| May 19, 2017 Filed May 23, 2017 20:12 UTC | MABVAX THERAPEUTICS HOLDINGS, INC. MBVX · Entity 167746 | GrantOption to Purchase Common Stock · Derivative | 50,000 | $1.80 Strike: $1.80 | $90,000.00 |
DisclosureSEC source: 0001415889-17-000846 · form4-05232017_050554.xml · derivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2027-05-19 F1 · derivative.exercise_date: The option is fully vested and exercisable and was issued pursuant to conditions of the Letter Agreement, dated May 15, 2017, by and between the Company and the lead investor in connection with the Company's public offering completed on May 19, 2017, and filed with the Securities and Exchange Commission on May 22, 2017 as Exhibit A of Exhibit 10.2 of the Company's Quarterly Report on Form 10-Q. Read SEC document |
| April 02, 2017 Filed Apr 4, 2017 19:22 UTC | MABVAX THERAPEUTICS HOLDINGS, INC. MBVX · Entity 167746 | Exercise / conversionRestricted Stock Unit · Derivative | 1,543 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-17-000592 · form4-04042017_040458.xml · derivative · entry 2 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,543 Underlying: Common Stock · 1,543 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 is the economic equivalent of one share of common stock of the Issuer F2 · price: Each restricted stock unit is the economic equivalent of one share of common stock of the Issuer F3 · derivative.exercise_date: Restricted Stock Units vest over 3 years from April 2, 2015, 1/3 on each anniversary of the date of grant, subject to the Reporting Person's continued employment or service with the Issuer on each such vesting date. F3 · derivative.expiration_date: Restricted Stock Units vest over 3 years from April 2, 2015, 1/3 on each anniversary of the date of grant, subject to the Reporting Person's continued employment or service with the Issuer on each such vesting date. Read SEC document |
| April 02, 2017 Filed Apr 4, 2017 19:22 UTC | MABVAX THERAPEUTICS HOLDINGS, INC. MBVX · Entity 167746 | Exercise / conversionCommon Stock | 1,543 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-17-000592 · form4-04042017_040458.xml · nonDerivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,762 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: Represents conversion of restricted stock units into common stock upon vesting of 1/3 of such units granted on April 2, 2015. F1 · price: Represents conversion of restricted stock units into common stock upon vesting of 1/3 of such units granted on April 2, 2015. Read SEC document |
| March 31, 2017 Filed Apr 3, 2017 17:14 UTC | International Stem Cell CORP ISCO.OB · Entity 8432 | GrantCommon Stock | 4,642 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-17-000765 · maier_f4.xml · nonDerivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,060 F1 · security: Common Stock granted as part of compensation for non-employee directors, with vesting at the time of grant. Q1 2017. Read SEC document |
| January 05, 2017 Filed Jan 6, 2017 19:30 UTC | SEELOS THERAPEUTICS, INC. APRI · Entity 93662 | GrantCommon Stock | 11,250 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001017491-17-000014 · wf-form4_148374900218648.xml · nonDerivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,854 F1 · shares: The Restricted Stock Units ("RSUs") were issued to the Reporting Person, a non-employee director of the Issuer, as an annual equity grant for his service as a director of the Issuer. Such RSUs shall fully vest on the first anniversary of the grant date, January 5, 2018, and are subject to accelerated vesting upon a change of control of the Issuer. F2 · price: Not applicable. Read SEC document |
| January 01, 2017 Filed Jan 3, 2017 21:02 UTC | MABVAX THERAPEUTICS HOLDINGS, INC. MBVX · Entity 167746 | GrantOption to Purchase Common Stock · Derivative | 4,100 | $3.38 Strike: $3.38 | $13,858.00 |
DisclosureSEC source: 0001415889-17-000024 · form4-01032017_060146.xml · derivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,100 Underlying: Common Stock · 4,100 shares Expires 2027-01-01 F1 · derivative.exercise_date: Such Options shall vest in equal annual installments over a three year period. Read SEC document |
| December 30, 2016 Filed Dec 30, 2016 19:59 UTC | International Stem Cell CORP ISCO.OB · Entity 8432 | GrantCommon Stock | 7,523 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-16-001039 · maier_f4.xml · nonDerivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,418 F1 · security: Common Stock granted as part of compensation for non-employee directors, with vesting at the time of grant. Q4 2016 Read SEC document |
| November 29, 2016 Filed Nov 30, 2016 23:42 UTC | FF EAI Robotics Ecosystem Inc. RTTR · Entity 7776 | GrantStock Option (2015 Equity Incentive Plan) · Derivative | 7,000 | $0.00 Strike: $2.37 | $0.00 |
DisclosureSEC source: 0001382963-16-000265 · edgar.xml · derivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,000 Underlying: Common Stock · 7,000 shares Expires 2026-11-29 F1 · derivative.exercise_date: Of the 7,000 shares granted, 730 shares were vested as of the grant date and the remaining 6,270 shares will vest ratably over the next 43 months. Read SEC document |
| October 13, 2016 Filed Oct 14, 2016 19:40 UTC | International Stem Cell CORP ISCO.OB · Entity 8432 | GrantCommon Stock | 1,334 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-16-000323 · maier_f4.xml · nonDerivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,895 F1 · security: Common Stock granted as part of compensation for non-employee directors (Annual Grant), with vesting at the time of grant. Read SEC document |
| September 30, 2016 Filed Sep 30, 2016 20:53 UTC | International Stem Cell CORP ISCO.OB · Entity 8432 | GrantCommon Stock | 4,391 | $0.00 | $0.00 |
DisclosureSEC source: 0001683168-16-000227 · maier_frm4.xml · nonDerivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,561 F1 · security: Common Stock granted as part of compensation for non-employee directors, with vesting at the time of grant. Q3 2016. Read SEC document |
| September 30, 2016 Filed Oct 3, 2016 16:33 UTC | SEELOS THERAPEUTICS, INC. APRI · Entity 93662 | GrantCommon Stock | 10,715 | $0.34 | $3,624.88 |
DisclosureSEC source: 0001017491-16-000222 · wf-form4_147552682481299.xml · nonDerivative · entry 1 MAIER PAUL V · CIK 0001182615 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,039 F1 · shares: The shares of common stock were issued to the Reporting Person, a non-employee director of the Issuer, as partial payment for the quarterly retainer fee for his service as director of Issuer under an amended director compensation policy, which reduced the cash compensation payable to the Issuer's non-employee directors and in lieu of such cash compensation, resolved to grant shares of the Issuer's common stock. F2 · price: The value of the shares being delivered in satisfaction of the payment was calculated based on the closing price of the Issuer's common stock on September 30, 2016. 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.